Compliance and suitablity

How does Personalized Brokerage Services help protect your practice? Compliance and suitability are always changing and continue to play an important role. Our team works closely with you and your practice to help you navigate through this ever changing landscape. We take suitability and compliance seriously to help you understand how to better serve your clients. Regulatory scrutiny and more examinations have dictated a need for more practice protection. We have built a compliance and suitability department designed to address specific issues for your practice.


It's no secret that increased regulation and producer monitoring has been taking place over the last few years within the insurance industry. As you address marketing your practice, how do you maneuver through the regulatory changes? Not only do you need to be concerned about federal issues, but also the state, and insurance commissioner. Personalized Brokerage Services can help your practice with guidance and coaching with important matters when it comes to marketing and advertising.


Over the past few years, suitability has been a focus by regulators with increased scrutiny on the producer and the insurance company. Articles come out often that state the SEC and FINRA are critical about client protection. Suitability becomes even more important in today's heightened regulatory environment. Personalized Brokerage Services can add an important layer to dealing with suitability. We have a suitability specialist that can help you and your practice through the suitability process.