Analysis
Building a Reliable Financial Planning Compliance Program for Independent Advisors
Running an independent advisory practice brings a lot of freedom. You choose your clients, set your fees, and build your own service model. But that freedom comes with a serious responsibility: staying on the right side of regulators. For advisors who leave the wirehouse model, the shift can be jarring. Suddenly, there is no compliance department down the hall. You are the compliance department. That is why having a solid financial planning compliance program is not optional
6 min read