How to Introduce Compliance Best Practices in Your Firm

How to Introduce Compliance Best Practices in Your Firm

December 3, 2020 @ 1:00 pm

As a responsible and principled financial advisor, you know that compliance is critical to the operation of your business. The risk of overlooking this key consumer protection – and potentially undergoing an audit – cannot be overstated.

From social media to blogs, emails to ad campaigns, articles to video scripts, and more – compliance protects your brand, your firm, your team and your clients.

Are you confident in your firm’s compliance processes? Do you want a better handle on best practices?

Join Carson’s Regional Compliance Manager Cody Augustus and Compliance Manager – Ad Review Don Slaughter on Thursday, December 3, at 1 p.m. CT for a special webinar, “How to Introduce Compliance Best Practices in Your Firm.”

Cody and Don have a keen understanding of the regulatory environment and a sharp eye for the rules that govern the financial services industry.

During the webinar, they’ll discuss:

  • – Submitting cases in a timely fashion
  • – Responding to compliance comments
  • – Choosing the right audience
  • – Submitting rush reviews
  • – And more!

Save your seat by filling out the form!


December 3, 2020 @ 1:00 pm
December 3, 2020 @ 2:00 pm
Event Category:

Tired of Never Really Clocking Out?

We could help you shave hours off your work week.


Wish Your Clients Bragged About Your Tech?

Our new CX is leaving clients speechless