Which questions to ask about potential firms’ compliance teams.
| | Sponsor Content from Commonwealth | |
| Sponsor Content from Commonwealth |
| Hello Voornaam, If you’re in the process of interviewing partner firms as an independent advisor, you know there’s a lot to talk about—and a lot of people to talk to. One critical topic on your list should be compliance. You want a team that works with you to achieve your goals—not one that puts up roadblocks to your success. Download your free copy of How to Evaluate Your Potential Firm’s Compliance Team for details on:
Defining your ideal compliance partnership Knowing which questions to ask potential firms regarding their compliance teams Using practical resources to help your evaluation Setting expectations for an ongoing relationship | |
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