How to Evaluate Your Potential Firm’s Compliance Team

You may recognize that compliance is a critical part of running an independent advisor firm. But did you know it’s just as important to find a firm partner that helps you manage it in a collaborative and supportive way?

All compliance teams are bound by the same rules, but it’s how they create policies to comply with those rules that may make them different.

In this white paper, you’ll learn:

• How to define your ideal compliance partnership
• Which questions to ask about potential firms’ compliance teams
• How to use practical resources to help your evaluation
• What an ongoing relationship should look like