Compliance

Compliance

Our compliance team is a core component of Mariner Advisor Network and comprises a group of highly experienced compliance professionals. As a Network Advisor, you are assigned a dedicated compliance supervisor to serve as your liaison for all regulatory compliance matters.

Your compliance supervisor is a one-stop resource for you to leverage in your efforts to keep your business in line with SEC rules and regulations. Our comprehensive compliance support includes submission of regulatory filings such as Form ADV, creation and maintenance of policies and procedures, training on policies and new regulations, assistance with escalated matters and compliance oversight of your practice, including periodic testing and audit.