Adopting smart supervision processes is at the core of controlling or pre-empting risks to the firm—regulatory, financial, legal, and most important, reputational. Simply put, supervision is ‘inspecting what you expect’ and making needed course corrections before problems escalate.
Download this free whitepaper to learn about Advisor Practice Reviews (APRs) and how they can keep your firm away from real and substantial risks. Discover why APRs are a 'win' for all involved - from the C-suite to clients.
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