Your Compliance Questions:
Answered
Grow your firm & stay compliant with Indyfin
Indyfin helps independent wealth management firms leverage the new SEC Marketing regulations to gather feedback, increase visibility, and grow their practice through ratings & reviews while remaining compliant.
How do we help you stay compliant:
Our platform makes it easier for financial advisors to gather and utilize reviews and testimonials online while explicitly addressing compliance criteria by:
- Verifying that all feedback is from a current client
- Monitoring feedback to determine it's written in a compliant manner while checking for:
- Promissory language
- Personal Identifiable Information
- Inappropriate Language
- Feedback flagging systems for additional review
- Enable Compliance Teams to access the Indyfin platform directly
- Advisor profile review to meet company standards
- Educational & training opportunities around the new rules
- Appropriate disclosure regarding endorsements by Indyfin
Focus on Building a Successful Practice:
Independent RIAs can stay compliant while enjoying the benefits of a powerful new platform to manage client feedback and customer satisfaction.
Interested?
If you are interested in this item and have some questions, feel free send an inquiry.
Click Here
On the Go?
Scan our QR code and use your phone to access our catalog.Community Sponsors