Are you sure your business is compliant?
Running a compliant business isn’t only good for your customers and your career, it’s the law. Your obligations towards your customers are firmly strictly regulated and should guide every interaction you have with them from your initial meeting, through the Know Your Client process, to product recommendations and throughout the life of the product.
It is your responsibility, as an advisor, to ensure that you are aware of all the regulations that govern regulatory requirements for a compliant business and that you always adhere to them. ivari can help with easy-to-use resources, including online courses, podcasts and the ivari Compliance Handbook for Advisors.
Set aside time in your busy schedule to review these materials regularly so that you are up-to-date and your business remains in full compliance with the law.