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 ABOUT
RED FLAG
WHAT RED FLAG IS …..
1. FAIS/FICA Compliance Process
2. FAIS/FICA Compliant Records
3. FAIS/FICA Compliant Personnel
4. Life, Short-term & Retail Compliance Packages
5. FULLY COMPLIANT PRACTICE
WHAT RED
FLAG DOES …..
1. Places the FSP in direct control of his/her compliance
process
2. Capacitates internal personnel (backroom staff) to
administer the compliance process leaving the FSP to attend
to marketing & sales – the lifeblood of the brokerage!
3. Produces FAIS/FICA compliant records
4. Enables the FSP to stay up to date on
industry/legislative/Ombud/tax
regimes; and finally produces a FSB Annual Report.
What more do you need??
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