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 MAY WE HELP YOU?
CAP Mosaic. Gain big-data consumer insights while monitoring actual sales practices
New England Compliance Roundtable for RIAs
. Presentations and discussions on “fiduciary,” robo-advisors, and more
Access LIMRA and LOMA research you may find helpful.
Engage with consumers to understand their brand experience via customized surveys and compliant social media practices. And connect with your peers and industry knowledge to learn about the latest effective regulatory compliance strategies.
LIMRA sets the bar with proprietary services that have become the industry standard. Featuring programs developed with active participation from prominent industry experts and shaped and field tested by our clients, all of our offerings include the training, tracking, and reporting capabilities that hold up to regulatory scrutiny while also meeting your own requirements.
Help your compliance team, field managers, and producers understand and address ever-changing requirement with our industry-focused support for your annuity CE and AML programs. We also provide social media training developed specifically to help advisors compliantly connect with clients and prospects online.