While we have always existed in a regulatory environment, it seems that these days, building your practice within regulatory guidelines is more important and challenging than ever.
We believe that a good compliance department should help you build and protect your practice, not restrict it. We understand that a narrow minded, top down approach to compliance can be frustrating and counter productive. Yet at the same time, we owe it to our clients and ourselves to act appropriately and maintain regulatory standards. Moreover, we all realize that regulatory missteps can be time consuming, costly and can ultimately jeopardize your practice.
With that understanding, our compliance staff works very actively with our business development and marketing teams to offer solutions that make sense from a regulatory standpoint, but also work for you and your clients in the "real world".
When we keep an open mind, work together and do the right thing - it really isn't that tough.