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How to Evaluate Your Potential Firm's Compliance Team
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"How to Evaluate Your Potential Firm's Compliance Team"

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
  • Using practical resources to help your evaluation
  • Setting expectations for an ongoing relationship


Offered Free by: Commonwealth Financial Network
See All Resources from: Commonwealth Financial Network

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