Are you Ready for a Compliance Review?

Designed to help insurance advisors review and evaluate their practice and its compliance program. This session will touch on key areas including client needs analysis, performance metrics, compliance updates, practice management, and strategies for growth. This presentation will provide insights into the entities that may audit an advisor's compliance program, the regulatory and industry requirements being reviewed and the resources and templates that are available to create or enhance your compliance program. It’s a valuable opportunity to reflect, refine your approach, and set clear goals for the months ahead. Whether you're looking to boost efficiency, enhance client relationships, or stay on top of regulatory changes, this session will provide practical insights to support your success.