Compliance and Regulations
Financial West Group’s experienced home office compliance staff offers a professional review of your business.
Our supervisory staff provides expertise in working within the industry’s ever-evolving regulatory environment. Our compliance staff can provide feedback on changes in securities regulation and how the changes impact our policies and procedures. We are equipped to advise and assist you on all related regulatory issues.
In addition, we will help you protect your clients through the best-practices of documentation and education; both being very critical components to securing your practice. Financial West Group contracts our Continuing Education services through Quest CE. Quest CE is a premier provider of continuing education, including FINRA’s annually required Firm Element training, state insurance education, designation continuing education, anti-money laundering training, ethics training, and NAIC annuity suitability training. We also utilize AI Insights for all Alternative Investment training. AI Insight provides non-biased Alternative investment industry insight and offering-level education to Broker Dealers, their Financial Advisors and other firm members.