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Solutions for Principal Firms
 

Risk

Compliance

A computer screen showing a range of marketing material that has been published on social media

Improving the control of content produced and published by appointed representatives or affiliates

Principal firms are responsible for ensuring their appointed representatives or affiliates comply with many different regulations.

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This includes making sure that all regulations relating to marketing and sales materials are properly met.

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Doing this properly, is often a major challenge for a principal firm's Compliance or Legal teams.​

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​Check out the sections below to find out more about the challenges and how we help principal firms to address them.​​​​​

We can also help the appointed representatives and affiliates to quickly and easily create content that is fully compliant and therefore, can be approved 1st time every time.

Increasing the 1st time approval rate delivers big benefits for:
 

  • The ARs / affiliates

  • Principal firms

 

Check out this section to find out more.

Find out more about how we help principal firms

For any of the following, please contact us:

  • To get an example of an Opportunity Assessment or Health Check report

  • To find out more about any of our services

  • Anything else!

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