Compliance

At Affiliated Advisors, we see compliance as a business tool rather than an obstacle to be surmounted. We focus on best practices and how to be an advisor’s partner and advocate.

How do you fortify your practice from a regulatory perspective—and by doing so, make your practice more valuable? How do you document client interactions so you can resolve conflicts peacefully and productively? Many advisors underestimate the importance of compliance to client services and procedures, but it affects all aspects of the client experience.

We believe in taking the worry and fear out of compliance, despite the fact that rules and regulations shift regularly. Communication makes the difference—by email, phone and webinar. Cindy Pollak, our Compliance Director, frequently visits offices. Practice reviews include discussions of technology, information security, acquisitions, continuity & succession planning, marketing, website updates, social media—in other words, where the practice is headed. Cindy helps make sure that each advisor’s business is running in the most effective way possible, and the efficiency of being in compliance is a big part of that picture.