We understand that compliance management can be hard to warm up to, given the tangle of rules and competing interests from industry, state and federal operatives. Regulatory reform, which is still unfolding, is not making it any easier.
That’s why you should embrace compliance management. Take it personally, from a business standpoint. It’s your best option, especially when you consider the tribal way in which the industry is currently set up and watched over.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access