The Human Dimension of Compliance

Whitworth, Richard H.
September 2011
Journal of Financial Planning;Sep/Oct2011 Practice Management Sol, p28
Academic Journal
The article presents the strategies from financial advisers on how to handle compliance issues more efficiently without risking their own profitability. These strategies include building one's internal resources, engaging an outside consultant and hiring a full-time compliance professional. The author also provides some resources to consider with the growing complexity of compliance regulations which include National Society of Compliance Professionals and National Regulatory Services.


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