Regulatory Compliance Support for Wealth Advisors

Regulatory Compliance
Contact Us

Staying current on rules and regulations and ensuring your wealth management firm is compliant can be overwhelming and time consuming. Our compliance team can help.

Our team’s objective is to provide you with regulatory compliance and oversight to help mitigate risk to your practice. 

Regulatory compliance services for wealth management firms include:

  • Compliance policies and procedures
  • Advertising review
  • Recordkeeping
  • Investment advisory agreements
  • Regulatory filings
  • Employee education and risk management
  • Licensing and registration
  • Training and updates on new regulations and industry best practices

Mariner Platform Solutions offers additional support to help you expand the services you offer clients including investments, insurance solutions, tax planning and preparation, retirement planning solutions and Mariner Trust Company services.


Learn more about all our wealth advisor support services:

Tech Stack

Your Toughest Challenges, Solved.

5 Things to Consider to Optimize Your Tech Stack

Subscribe to Our Email List

Quarterly newsletter, webinar invites and other resources for advisors delivered to your inbox.

Newsletter Signup (Inline)