Compliance, Legal & Risk
When it comes to risk management and compliance oversight, you can count on LPL to help you stay ahead of ever-changing rules and regulations. Our experienced team members will provide you with customized support, training, oversight, and guidance to help you maintain a compliant practice.
Your partner for peace of mind
Financial industry rules and regulations are complex and constantly changing. With a supportive team behind you, you can rest assured that your compliance requirements are covered.
LPL’s expert Business Risk Management team is backed by our advanced platform of risk and compliance management, services, and technology—all designed to protect you and your business.
You’ll also be supported by a dedicated team of supervisory principals to assist with day-to-day supervisory responsibilities:
This team comprises first-line supervisors for specific activities, including:
- Trade blotter
- OSJ review tool tasks
- Non-electronic correspondence
- Consolidated reporting
Complex Products Supervision
This team provides first-line supervisors for specific products, such as:
- Variable annuities
- Fixed index annuities
- Alternative investments
- Structured products
- Leveraged and inverse exchange-traded funds
This team assesses new advisors and certain activities of existing advisors, including:
- Outside business activities
- Private securities transactions
Serving your clients’ needs and running your practice are the focus of what you do. With a collaborative partner to keep up with regulations, you’ll have more time to do that—along with the peace of mind in knowing that your practice is compliant.