The Compliance Department

When dealing with money - things get legal. Our priority is to ensure everyone follows the federal and state rules, laws, and regulations that govern financial institutions. It can be difficult to keep up with the constantly changing regulatory environment and failure to comply may result in legal issues, penalties, fines, and reputation damage. That’s why we provide a team of professionals to inform and regulate your practice consistently - ensuring you can focus your time on servicing your clients.

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John Nastasi | Agency Compliance Officer

Select a category for the compliance guidelines.

Check GOL for further details or schedule a consultation for further questions.