Running a compliant business isn’t only good for your customers and your career, it’s the law. Your obligations towards customers are regulated and should guide every interaction you have with them, starting with your initial meeting, the Know Your Client process, product recommendations and throughout the life cycle of the policy.

It is your responsibility, as an advisor, to ensure you are aware of all regulations that govern your requirements for a compliant business. There are many industry reference documents and easy-to-use resources available in HUBLINK. The ivari Compliance Handbook for Advisors is another reference document made available to assist you in keeping current.

Set aside time in your busy schedule to review these materials regularly so that you are up-to-date and in full compliance with the laws and codes of conduct.

Remember,
Good Business is Compliant and Compliance Matters!