Self-Assessment Checklist for Financial Professionals

Those who understand the rules they must follow are best positioned to succeed.

Want to have insight into potential risks you may face? Take the Self-Assessment and find out.

 Each question in the checklist is explained thoroughly to help you have a deeper understanding of what the risk entails and how it may affect your business.

The answers are just for you. If you have questions about how your answers could be putting your business at risk, we are here to help. We specialize in helping independent distribution manage these key risks and more.

Download your copy of the Self-Assessment checklist

Direct download; there is no form to complete.