Premium Wealth Management has launched boutique compliance tool for self-licensed advisors who wish to have access to compliance professional when they need it to assist them to keep abreast of and practically implement regulatory requirements.
The solution includes the following:
Go deeper with GlobalData
Access deeper industry intelligence
Experience unmatched clarity with a single platform that combines unique data, AI, and human expertise.
- 1 Audit per annum plus audit report which includes follow up action and assistance with implementation of action items
- Phone and email contact for compliance related queries when you need it on providing client advice, transactions and servicing
- Compliance review of advice documents (vetting), websites, marketing material and FSG’s when required
- Access to PWM’s templates if desired
- Invitation to Premium Wealth Management’s two PD Days (travel and accommodation at own expense).
- Invitation to Premium Wealth Management Two Day Conference at the end of November which includes PWM’s Christmas party (travel and accommodation at own expense).
- Compliance mailing list with regulatory updates and solutions on implementation
Compliance
Premium has a strong culture of compliance which comes from the board who are also practitioners and run their own successful financial planning firms.
You have access to Premium’s senior in-house compliance manager who holds experience as a financial adviser and practice manager and works with your business to assist you to practically and where possible commercially implement compliance requirements.
Premium has an active voice within the industry in relation to FOFA reforms as a member of the AFA and is represented on the AFA FOFA Working Group.
US Tariffs are shifting - will you react or anticipate?
Don’t let policy changes catch you off guard. Stay proactive with real-time data and expert analysis.
By GlobalDataTraining and conferences
Premium Wealth Management is considered by all our business partners to have the best conferences and PD Days in the industry. This is not only attributed to the high standard and smorgasbord of the presenters and training material but also the collegiate nature of the advisers in the group and the sessions which are presented by our advisers on practical issues.
