Supervisory Support
- Ongoing Compliance and Supervision
- Email Review
- Trade and Transactional Review
- Hold Reports
- Strategy Recommendation Reports
- Monthly Communications
- Best Practices
- Regulatory Insights
- Compliance Updates
- Policy Updates
- Common Audit Findings
- Audit Assistance (3 year cycle)
- Licensing and Registration Support
- State Licenses – Additions and Removals
- Branch Address Changes
- NRA Onboarding
- Terminations
- New Rep Number
- OBA Submissions
- Exam Window Opening
- Advertising and ‘Communications with the Public’ Approvals
- Business Collateral Guidance
- Compliance Pre-Approvals for Annuity products
