The Danger of Delayed Compliance and Steps You Can Take To Remediate Your Risk
In December, we published “A 2021 Regulatory Outlook: 4 Critical Areas for Agents and Advisors”, a blog post highlighting the compliance risks we could face in 2021. One of the primary purposes of that blog was to relay the fact that the regulatory environment for our industry is changing – perhaps more rapidly than at […]
Choosing a Compliance Partner (and why you should have one)
Regulatory compliance, risk assessment, and risk remediation for your business can be an overwhelming task. To simplify this process, some agents and advisors choose to partner with a compliance expert. Whether you choose to hire someone in-house or engage with a consultant, you will want to ensure they are right for your practice. Agents and […]