Assessment – LeadPoint Compliance

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What’s your biggest compliance challenge right now?

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Keeping up with the Marketing Rule requirements. Properly training and keeping my advisors informed. Automating my compliance management program. Software that can’t be customized. SEC Exams and audit readiness. Cybersecurity and Data Privacy.

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Bryan

Co-Founder

Hi there,

Welcome to LeadPoint Compliance.

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Bryan

Co-Founder

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2-Minute Risk Assessment and Recommendation

1. Have you updated your policies and procedures manual to include a section on the marketing rule requirements?

2. Have you met with your staff in the last 12 months to discuss the marketing rule requirements, specifically how your daily marketing workflow may have changed?

3. Do your daily activities surrounding marketing match the SEC requirements and mirror your policies and procedures?

4. Do all new marketing materials get reviewed by the CCO prior to being published or sent to clients?

5. When was the last time you reviewed your current marketing program including website(s), blogs, videos, presentations, and social engagements?

6. Do you have a clear policy regarding client communication on social media?

7. If you have published testimonials, are they accompanied by the correct disclosures?

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What’s your biggest compliance challenge right now?

Bryan

Welcome to LeadPoint Compliance.

Bryan