Ongoing compliance isn't simple and/or standardized
You're struggling to get ahead in the online marketplace with all the landmines of exhaustive regulation.
You've been notified of an audit, you're stressed, it's all you think about and/or you've been fined for oversight.
You know growth shouldn't be this hard and mistakes shouldn't be happening at this stage of your firm.
Ever-increasing regulatory pressure makes growth unnecessarily hard. You've never had a hard time growing, but now FINRA/SEC continue to make compliance in the online era increasingly difficult.
How are you ensuring your entire team stays within the lines without adding avoidable stress to your life?
How are you protecting what you've worked so hard to build, without losing time to step away and do as you please?