One of the goals at HUB Capital is to work together with our partners to deliver efficient and streamlined support for your business. We continually look for ways to provide tools and guidance that you can incorporate into your businesses that allow more time for you to focus on servicing your clients and building your practices.
With this in mind, one of the biggest issues we need to tackle is to significantly reduce the number of compliance deficiencies and inquiries as these take valuable time away from your client focus and our ability to work on more proactive support of your business. We value our relationship and hope that we can work as a team to improve the compliance experience!
This bulletin will provide additional perspective on common deficiencies and offers solutions for you to incorporate into your practice. It is very important that you take the time to read it.
Please contact your RCO or Branch Manager if you have any questions or would like additional guidance, otherwise, we’ll look forward to receiving your acknowledgement and focus on reducing deficiencies!
