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Revising Your Client Files for Compliance and New Business Opportunities

This article was generously provided by Sylvie Chartrand, Customer Service Manager, Financial Horizons Group, Quebec Region.

From the perspective of an advisor, compliance laws, rules, and standards can represent a daunting task and an administrative burden – but this doesn’t have to be the case. In fact, compliance can generate new opportunities. That’s a fact!

A review of your client files has three advantages: