Failure to follow regulations and controls can leave your business vulnerable. Our field-friendly compliance team will help you navigate through policies, procedures, and rules set in place by our regulators. We strive to know your practice so that we can assist you in the mitigation of risk.

While your branch will have the freedom to provide customers with the services that align with your unique value proposition, we will continue to get to know your practice through the Branch Office Examination process. These exams are administered by both local and broker-dealer compliance experts to help ensure your business remains protected and avoids risk.

When there’s a change in the industry, in regulations, or in governance, you’ll be the first to know. We’ll alert you to the updates and walk you through how they affect your practice so that you and your customers never miss a step.