How to Introduce Compliance Best Practices in Your Firm


As a responsible and principled financial advisor, you know that compliance is critical to the operation of your business. The risk of overlooking this key consumer protection – and potentially undergoing an audit – cannot be overstated.

From social media to blogs, emails to ad campaigns, articles to video scripts, and more – compliance protects your brand, your firm, your team and your clients.

Are you confident in your firm’s compliance processes? Do you want to save time and cut back on the energy you’re spending trying to keep up with best practices?

Join Carson compliance analysts Cody Augustus and Don Slaughter for a special webinar, “How to Introduce Compliance Best Practices in Your Firm.”

Cody and Don have a keen understanding of the regulatory environment and their team keeps Carson moving forward securely and swiftly.

During the webinar, they’ll discuss:

  • Advisors’ key compliance challenges and how to overcome them
  • Compliance resources that keep firms on track
  • The importance of a compliance team that works quickly
  • Compliance task management
  • And more!