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Compliance Polices & Procedures PAM RUHE & SETH STEWART Compliance doesn’t have to be complicated if you use common sense The basic “Do’s & Don’ts” No Guarantees – Annuities with Disclosure (Based on claims paying ability) No Client Testimonials OPENING REMARKS & UPDATES No Misleading Statements The process to submit for compliance approval – BrookstoneFinancial.com – Advisor Resource Outside Speaking Engagements & Workshops Invitations – (Yes! I would like added to “Events Page”) Presentations Social Media Posts Print/Radio/TV Consolidated Reporting Policies & Procedures No printed, consolidated reports can be distributed to clients Clients can be offered online access to consolidated reporting (eMoney Example) Updated disclosures and documents obtained by all advisers 07
Notes Questions... OPENING REMARKS & UPDATES ................................................. Doodle Space ........................................................................................................................................ ........................................................................................................................................ ................................................. 08
Page 1: Training Guide For Advisers & Staff
Page 4 and 5: Opening Remarks JAMES M. JONES, FOU
Page 6 and 7: Opening Remarks SETH B. STEWART, PR
Page 10 and 11: Advisors Assistant CRM SETH STEWART
Page 12 and 13: Advisors Assistant CRM ANDRE MCLEAN
Page 14 and 15: Brookstone Financial.com SETH STEWA
Page 16 and 17: Screen Meet SETH STEWART Easy to us
Page 18 and 19: eMoney SETH STEWART “A tool, NOT
Page 20 and 21: Riskalyze Risk Profiling SETH STEWA
Page 23 and 24: Table of Contents Strategic Partner
Page 25 and 26: Life Insurance TJ SCOTT How Gradien
Page 27 and 28: Notes Questions... CUSTODIAL PLATFO
Page 35 and 36: BofI Advisor SETH STEWART Adviser S
Page 37 and 38: Notes Questions... SALES & MARKETIN

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