Your New Best Friend: Compliance

In this crucial episode of The Complete Advisor, host Dennis Mattern sits down with Lance Monk, a seasoned compliance officer at CreativeOne Securities, to tackle one of the most critical aspects of the financial advisory profession-staying compliant with ever-evolving regulations. Whether you're a financial advisor, an insurance agent, or managing assets under a broker-dealer, compliance is a non-negotiable element of your practice.
Lance, who brings decades of experience both as an advisor and a compliance auditor, shares invaluable insights into the common mistakes that could put your practice at risk and how to avoid them. From the intricacies of client communication to the challenges of managing digital interactions like texting and social media, this episode is packed with actionable advice to keep your business in the regulatory clear.
Discover the pitfalls that even the most diligent advisors fall into and learn why keeping your "house in order" is not just a best practice-it's essential for the longevity of your career. Whether you're a seasoned professional or new to the industry, this episode provides the knowledge you need to protect yourself and your clients in an increasingly complex regulatory environment.
Tune in to ensure you're not inadvertently jeopardizing your practice, and walk away with practical steps to safeguard your business. Don't miss out-subscribe now and stay ahead of the compliance curve!
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This podcast is for financial professional use only and not for use with the general public.
The information provided herein is the exclusive property of CreativeOne and is protected by copyright and other intellectual property laws of the United States.
This material has been prepared for informational and educational purposes only. It is not intended to provide, and should not be relied upon for, accounting, legal, tax, or investment advice.
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Although we may promote and or recommend the services offered by this company, agents are ultimately responsible for the use of any materials or services and agree to comply with the compliance requirements of their broker-dealer and registered investment adviser, if applicable, and the insurance carriers they represent.
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