Your Partner in Compliance
Compliance is a critical component for both DAI and the advisor. We engage with you in an ongoing approach to this area of your business. Our goal is to set you up with a roadmap to running your business in a compliant fashion from day one. With ongoing and interactive education throughout the year, our team of compliance professionals is here to support you as your practice evolves.
Licensing and Registration
- Managing FINRA and IAR State Registrations
- U-4 amendments and branch filings
- Appointments with carriers
- Opening windows for FINRA exams
- Firm element CE and AML training
Branch Office Checklist (Non-OSJ and OSJ Differences)
- Registered Rep File
- Complaint File
- Correspondence File
- Trade Blotters
- Advertising and Marketing
- Gift and Gratuity Log
- Check Blotter
- Signature Guarantee Log (if applicable)