Danger: Compliance Risks for Advisors and How to Turn them into Opportunities


Complex rules and regulations, along with internal operations bottlenecks, can make the simple act of sending sales materials to clients an arduous task for financial advisors. Ensuring all communications are conducted with proper disclosures can turn into a major draw on an advisor’s time. However, a strong operations and compliance regime can be an asset for advisors and even help them win new clients.


  • Navigate the choppy compliance waters and maintain efficient client communications
  • Effectively deploy processes to save advisors time, effort and risk
  • Streamline processes and update technology to quickly create personalized, compliance-approved sales materials




Todd Cipperman, Founder, Cipperman Compliance Services

Bill Finnegan, Managing Director, Financial Services Marketing, Seismic

Brian Vendig, President and Managing Executive, MJP Wealth Advisors


Bruce Love

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