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Compliance Polices &<br />
Procedures<br />
PAM RUHE & SETH STEWART<br />
Compliance doesn’t have to be complicated if you use common sense<br />
The basic “Do’s & Don’ts”<br />
No Guarantees – Annuities with Disclosure (Based on claims paying ability)<br />
No Client Testimonials<br />
OPENING REMARKS & UPDATES<br />
No Misleading Statements<br />
The process to submit for compliance approval –<br />
BrookstoneFinancial.com – Advisor Resource<br />
Outside Speaking Engagements & Workshops<br />
Invitations – (Yes! I would like added to “Events Page”)<br />
Presentations<br />
Social Media Posts<br />
Print/Radio/TV<br />
Consolidated Reporting Policies & Procedures<br />
No printed, consolidated reports can be distributed to clients<br />
Clients can be offered online access to consolidated reporting<br />
(eMoney Example)<br />
Updated disclosures and documents obtained by all advisers<br />
07
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