How to Avoid the Most Common Compliance Concerns
“Advisor Perspectives welcomes guest contributions. The views presented here do not necessarily represent those of Advisor Perspectives. Many advisors suffer from the misconception that as long as their intentions aren’t malicious, they’re in compliance. Sadly, this is not the case,” reports Sol Hersh in Advisor Perspectives.
“To catch the small number of bad actors in the industry, the rest of us must abide by the often-complex industry regulations. Failing to remain in compliance will lead to deficiencies, fines, and even enforcement action. Here are the most common compliance concerns and how your firm can avoid them.”
