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The regulator expects the new structure to increase compliance efficiency and effectiveness

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Take these four steps to avoid mistakes that can cost advisors their livelihood

compliance puzzle

Some registered firms are not establishing an adequate compliance system

compliance puzzle

If you can’t read and digest all the rules, make sure to understand the principles behind them

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By removing friction, adding convenience and changing the value proposition, you can protect your practice from the growing influence of robo-advisors

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A 2016 review found weaknesses in the firm’s internal controls and supervisory systems

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The association will lead a consultation on Guideline G19 with participation by both advisors and insurers

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There are various steps advisors can take to ensure a positive client experience while still being compliant

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Advisors need to educate themselves about the laws and regulations and monitor themselves to ensure they’re compliant with these rules

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The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings