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Make Better Wealth Decisions: How Financial Advisor's Blind Spots Can Hurt Your Investments in a Rapidly Changing World
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#194 | Why Compliance Should Empower Advisors — Not Hold Them Back
Manage episode 497537122 series 3619636
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Are you still treating compliance as a roadblock instead of a strategic advantage?
If you're an advisor or in compliance, this conversation with Fardan Ali will challenge everything you’ve assumed about regulation, advisor relationships, and what true compliance partnership looks like.
Fardan, a compliance manager who’s worked with hundreds of advisors, breaks down why the compliance department shouldn't be your enemy — and how outdated best practices and legacy systems are damaging advisor productivity and client service.
In this episode, you’ll learn:
- Why “Know Your Advisor” (KYA) is just as crucial as KYC and KYP
- How reframing compliance as collaboration can boost your practice
- What real, regulator-approved “meaningful discussions” should look like — and how to do them right
🎧 Listen now to shift your mindset on compliance and elevate your advisory practice.
https://designedwealthmanagement.ca/
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