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Compliance

Advantage in a Regulatory World


In today’s highly regulated financial services industry, effective risk management underpins your company’s success. Innovative products and sophisticated distribution strategies are only as good as your internal compliance standards and practices. Profits of a product line earned over many years can evaporate as a result of regulatory sanctions, fines, and class-action lawsuits.

Our Compliance & Regulatory Services professionals offer knowledge, advice, and solutions informed by initiatives with global, national, and state regulators, law firms, and compliance professionals — and enhanced by our industry-focused research. Behind the curtain, we provide unmatched contemporary insight to guard your business and provide brand advantage.

How-Help-01 HOW MAY WE HELP YOU? 

Resources
Compliance Training Login
LATEST NEWS

Recognizing Financial Exploitation education program will help your representatives comply with new FINRA rules.


DOL Fiduciary Rule
Learn the latest information and industry-standard approaches


ADDITIONAL RESOURCES

Access LIMRA and LOMA research you may find helpful.