Supervisory Support

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