Compliance consultants for

Need help meeting the compliance requirements of the DOL Fiduciary Rule, the related exemptions, and the Impartial Conduct Standards?

The DOL Rule has many requirements that are in effect NOW despite portions of the DOL Rule being delayed until July 1, 2019.  We’ll help you build a compliance program to manage today's requirements and position you for continued success in the future.

Here are a few of the ways we can help:

Advertising Review

-  Compliance review of websites, seminars, training, mailers, flyers, etc.
-  Issue approvals or only provide comments/guidance
-  Help avoid misleading statements as required by the DOL Rule

-  Development and Delivery to Employees and Producers
-  Initial and On-Going Training Provided
-  General Training or Customized to Your Specific Needs

Policies and Procedures Development
-Compliance Manuals
-Advertising Review and Process
-Compensation (commissions, overrides, bonuses, non-cash comp, etc.)
-Operations (app process, suitability/best interest, appointments, etc.)
-Sales (product recommendations, sales practices, etc.)

Compliance Assistance with Producers
-Producer retention programs
-Risk assessments (advertising, sales practices, record-keeping, etc.)
-Facilitate producer appointments with carriers
-Targeted training

Supervision & Oversight
-Design and Implementation
-Compliance Audits/Inspections

We can help you prioritize your next steps, and then design, document, and implement a process in which you can have confidence. We bring decades of experience working with IMOs, insurance carriers, producers, and other financial institutions - call us to get started!