Compliance
We take great pride in maintaining a positive reputation in the compliance
community and an excellent regulatory record.
Senior management at United Planners' takes an active role in regulation of the broker/dealer industry. They participate in industry organizations and self-regulatory bodies as well as being minority owners of the firm.
The Compliance Department is also an important resource for United Planners' representatives and other branch personnel. The Compliance Department is available to assist branch personnel in technical and procedural matters regarding regulatory policies. Registered Home Office compliance personnel are eager to answer your questions. United Planners' compliance department is grounded by well-trained, knowledgeable staff; an automated compliance review process; regular field audits and a progressive continuing education program that includes individual and group training via conference calls, webinars, conferences and workshops.
Among the support available from the UP Compliance Department:
- Assistance and guidance with OSJ Supervisory Activities
- Guidance with Outside Business and Account Activities
- Assistance with Regulatory Inquiries and Audits
- Assistance with Sales Practice Issues
- Direction with Record-keeping Requirements
- Anti-Money Laundering Related Services
- Home Office Supervision Services
The Home Office staff at United Planners' are here to help you.
We believe in our mission statement and live it daily.
