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Risk & Regulatory
Are you creating a culture of compliance?
Nurturing a culture of compliance can help firms meet the standards set forth by regulators. There may be additional benefits to embracing compliance, too, including:
- Enhancing your firm's reputation and brand with clients, prospects, and business partners
- Making your firm more attractive to potential partners or acquirers, who may dig into your compliance procedures as part of the due diligence process
- Helping with recruitment efforts as potential new advisors for your firm review your compliance history