Staff from FINRA and the SEC have recently reinforced the necessity of firms to stay current on their Supervisory responsibilities, including reviews of both Registered Rep/Financial Advisor and Client activities.
Let Bates help you get up to speed and stay current. Our experienced former Administrative Managers, Branch Office Managers, Central Business Review Professionals, and AML Analysts and Investigators will work with you to review and sign off on the following reviews and alerts:
Mutual fund reviews (share class, early liquidation, etc.)
VA reviews (early liquidation, share class, etc.)
FA/client discussion notes (RegBI, IA services provided, etc)
Switching of all types (within and among products)