All compliance teams are bound by the same rules, but it’s how they create policies to comply with those rules that may make them different.
If you’re in the process of interviewing partner firms as an independent advisor, you know there’s a lot to talk about — and a lot of people to talk to. One critical topic on your list should be compliance. You want a team that works with you to achieve your goals — not one that puts up roadblocks to your success.
Download this white paper for details on:
Defining your ideal compliance partnership
Knowing which questions to ask potential firms regarding their compliance teams