Compliance Solutions

Compliance for independent advisors can be full of uncertainty, challenge and cost. Regulatory changes are difficult to keep up with and time-consuming to implement. There is a better way.

All of the help, without the hassle.

We provide the best of both worlds: An in-house, institutional-grade compliance team that serves only Partners, so you get a dedicated outsourced team.

As a Partner, our in-house team comprised of Chief Compliance Officer and team of dedicated regulatory professionals helps you proactively and efficiently manage your firm’s regulatory requirements. We understand the complexity of the frequently changing regulatory environment we operate in. From the day-to-day tasks like marketing and ad reviews, to larger programmatic compliance issues, your in-house Carson Group compliance team eases the burden for you. You have a single point of contact for all compliance related matters.

What you get with our compliance solutions:

  • Full-service team of experienced regulatory professionals handles high-level issues and day-to-day tasks
  • Outsource a full range of oversight tasks such as annual reviews and policy development
  • Incorporate our “culture of compliance” approach with your team
  • Confidence that your firm is up-to-speed on and compliant with changing regulations
  • Training and guidance on implementation of processes and procedures
  • Potential cost savings over handling compliance yourself
  • Free up time to spend on other business priorities to drive growth and profitability