You also may not have Series licenses, so you might think you do not need to be stringent in your compliance, however, which is NOT TRUE.
In today’s world if you are working with clients money, selling insurance, or giving advice multiple agencies in the government consider you a fiduciary. A fiduciary means you must do things in the best interest of the client and you are responsible for those decisions and actions of your clients.
In the Republic of Texas in 2015, 500 advisors and agents have faced fines from The Texas Department of Insurance, FINRA, State Securities Boards and other regulatory agencies of over 5,000 with a total of 3,489 agents and advisors already being fined or sanctioned, some losing licenses and the ability to practice. DO NO LET THIS BE YOU!
Do you have?
- The systems in place to ensure compliance?
- Are you doing the due diligence required for your clients?
- How are you presenting that?
- How does your staff interact with your clients?
- Are the appropriate licensed individuals doing what they are supposed to?
- How are recommendations given and followed up on?
If you CAN NOT answer all of these questions truthfully and in detail, I can HELP YOU!
Solve Ur Puzzles will:
- Set up, establish, implement, and track your systems for these issues
- Coach your team and set up or update procedures
- Provide quarterly compliance audit checks
- Help you drive your revenue by at least 50% in a 12 month period
This is a value add to your normal company compliance, helping you make sure you pass those reviews and get your business humming the right way.
Call us at 512-428-4145 or email email@example.com to inquire about what we can do for you today.
Special pricing of 50% off the $2,500 Annual Fee if contracted by November 5th.