Compliance

Today’s increasingly stringent regulatory climate can seem dauntingly complex and time consuming. SFA’s strong compliance training programs and its rigorous devotion to maintaining best practices and procedures help advisors streamline their regulatory workload and avoid inadvertent missteps.

At SFA, Compliance is a partner, guiding advisors to fulfill their regulatory obligations in ways that will support them in, and not needlessly detract them from their most important endeavor – growing their business and servicing their clients’ needs.