Quick Compliance

We know, we know. Is there such a thing as quick compliance? Yes, but not at the big brokerage firms.

One of the huge advantages our advisors have is the ability to immediately relay timely material, emails and presentations to clients. Our experience at the brokerage firms typically left us wishing we could mass-email a letter to clients in difficult times (only to be hindered by the firm's 5 day compliance approval process). Most of the time, the crisis would pass before the compliance department signed off on any letter or seminar we wished to communicate.

At our firm, we give our advisors same day compliance answers. Quick, simple and timely.

 

 

 

 


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