Most financial advisors don’t use compliance software in their practice, but those who do report being satisfied with the technology, according to a new report.
Published by the Financial Planning Association, Denver, the report highlights the key issues financial professionals face when dealing with compliance issues. And it provides guidance on how to approach compliance challenges using compliance software technology.
More than 9 in 10 advisors report being satisfied with compliance software, the report finds. Just 3.7% of advisers say they are somewhat dissatisfied.