This compliance section of our website provides information about industry practices that you may find helpful in assessing your sales practices. This section is also a useful reference guide that outlines the minimum standards we expect advisors to adhere to and the values we want to project to clients.
Meeting and exceeding customer expectations is the key to growth in today’s competitive marketplace. You should regularly review your practices to ensure that you consistently meet and exceed customer expectations.
We hope that you will find this website a useful tool for building and maintaining strong relationships with customers.
This section of our website provides general information and comments on certain compliance requirements and is not a legal opinion. The information does not address the mutual funds' compliance requirement. The reader should not act solely on the information contained herein.
The term advisor in this website is used to refer to an insurance representative, agent, broker, distributor, producer, intermediary, benefit advisor, or financial security advisor of the customer.
