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Danger: Compliance Risks for Advisors and How to Turn them into Opportunities

By Jonathan E. Braunstein June 25, 2019

Complex rules and regulations and internal operations bottlenecks can make the simple act of sending sales materials to clients an arduous task for financial advisors. Ensuring that all communications are conducted with proper disclosures can turn into a major draw on an advisor’s time. However, a strong operations and compliance regime can be an asset for advisors and even help them win new clients.

Join us at 11am ET on June 26, 2019 for this webcast covering how to:

• Navigate the choppy compliance waters and maintain efficient client communications

• Effectively deploy processes to save advisors time, effort, and risk

• Streamline processes and update technology to quickly create personalized, compliance-approved sales materials

Register now and we will send you the webcast link in a calendar invitation.

To register, click here:

Register

When:
June 26, 2019
11:00 AM - 11:30 AM EDT

Price:
Free to all registered FAIQ readers.

Panelists:
Todd Cipperman, Founder, Cipperman Compliance Services
Bill Finnegan, Managing Director, Financial Services Marketing, Seismic
Brian Vendig, President and Managing Executive, MJP Wealth Advisors

Moderator:
Bruce Love