Compliance
Compliance Supervision
With heightened regulations and increased scrutiny of the financial services industry, compliance supervision is a mandatory component of running your practice.
Outsourcing compliance to TLWM helps to increase your face time with clients and prospects. By letting TLWM manage your compliance responsibilities, you can focus on your business again.
Some of the areas our compliance team handles include:
- Daily requirements:
- Trade blotter review
- Correspondence review
- Advertising review
- Account surveillance
- Registration and licensing
- TLWM examinations
- New account applications
- Maintaining and updating RIA with regulatory bodies
- ADV 2a, ADV2b, RIA client agreements
