Compliance is a fact of life for financial advisors and wealth management firms across the U.S.—one that’s often difficult to manage.
Chances are firms will find themselves subject to a compliance audit at some point in the coming years. The best way to prepare is to know what to expect and to provide your employees with the right tools and technology that streamline and automate compliance tasks.
This guide will help you prepare for the inevitable compliance audit, covering the main types of audits advisory firms need to consider. Follow this playbook to ensure your next audit runs smoothly.