Stay Current with New Regulations
We follow the latest regulatory changes so you can clearly evaluate all your options within a team-based environment. Our team monitors updates from the SEC, FINRA, and DOL for Broker/Dealer, RIA, fees, compliance requirements, and cybersecurity
Add Proven Experience to Your Firm
Operate your business with the confidence that comes with a proven team behind you. We retain a top industry law firm for assistance, and support both advisory only and hybrid firm structures.
Put Your Responsibilities on Our Shoulders
Our hybrid agreement allows us to maintain most supervisory responsibilities,
while leveraging compliance technologies, including:
New Business
Trade submissions, alerts, and reviews
Trade Monitoring
Post-trade review, error flagging, and resolution
Email Review
Surveillance and archiving from Smarsh
Compliance
Consolidated attestations and correspondence reporting.
Continuing Education
Training to satisfy industry requirements (through RegEd).
Employee Monitoring
Track outside business and personal trades (through RegEd).
Annuity Intelligence
Research and compare annuities.
Alternative Insights
Get training and information on alternative assets.
Licensing
Easily file and update your U4 and U5 filings for FINRA.
Are You Protected Against Cybersecurity Threats?
Take Our Self-Assessment to Find Out.
Fewer Regulatory Concerns. More Growth Potential.
Protect your firm’s interests and put your clients first with outsourced compliance from WealthPlan Group.
Schedule your initial call today to learn how we can support you.