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Is your compliance calendar still living in a spreadsheet? Is it easy for you to look at your program top-to-bottom and see if it’s effective?
Automating your compliance calendar can save you time and make your Annual Review easier and faster to accomplish. Many Advisors scramble to search for documents at year-end or when the regulators show up. They lose track of what’s been done, who’s responsible for it and if something has been missed.
Automation of your compliance program can free you and your team to concentrate on what you do best – growing your practice and your client list.
– Polly Cordle, Oyster Consulting