Compliance Solutions

Compliance is at the forefront of our business just as it is for yours. While many content services can be a burden to financial institutions compliance departments, requiring many rounds of edits and revisions, Forefield is an out-of-the box compliance solution.

Compliant Content
It all starts with a strict content creation process at Forefield. All information in Advisor is written, reviewed, and approved by a team of professionals, including Chartered Financial Analysts, Certified Financial Planners (CFPs), attorneys, Certified Public Accountants (CPAs), and Chartered Financial Consultants (ChFCs). Strict review procedures help ensure that all content is legally approved and compliant with all regulations. Content is updated regularly to ensure ongoing compliance.

2nd level and 3rd level reviews
In addition to being created by a staff of specialists, Forefield's content is also reviewed by practitioners specializing in the relevant subject matter. We have our own internal compliance counsel who reviews the content for legal and compliance issues. Documents that require regulatory review are submitted to the NASD. We retain all comment letters on file and can furnish them as necessary to your internal compliance department.

Customer Review
Forefield's existing customers, including some of the biggest names in financial planning, have submitted the materials to their internal compliance departments and approved the use of our content as a sales, education, and client communication tool.

Customized Presentation Templates
Forefield offers pre-built presentation templates around the most popular financial planning topics. Enterprise customers can customize these to fit their business, adding to or deleting from the collection to ensure that the final set of presentation templates is optimized to maximize advisor productivity.

As compliance is an ongoing process, we will continue to assist clients in meeting all regulatory obligations. If you have any questions about our compliance review, please feel free to call us at (800) 550-6831 or e-mail our internal compliance counsel and editor in chief at compliance@forefield.com.