Compliance

Supervision and Oversight, Your Solutions - Based Regulatory Partner

In the current regulatory environment, communication is essential to remaining compliant. Your Williams Financial Group (WFG) Compliance representative interfaces with the SEC, FINRA, and each of the states in which you are registered allowing you to focus on your independent practice.

We pride our firm on exceeding the minimum regulatory standards.
You receive a steady stream of communication regarding regulations, guidelines, and policies and procedures to ensure your knowledge of the most current regulatory requirements.

Support and training includes:

Transactional and account review and surveillance
Review of standard marketing collateral
Assist with branch supervisory activities
Periodic, on-site branch reviews
Advisory account reviews
Reporting of business account activities
Direction on record retention policies and requirements
Annual compliance review
Licensing and registration
Continuing education
Product training

Products & Services