Most advisor content programs have governance gaps that only surface during a regulatory exam. This episode walks compliance officers and marketing leaders through a practical readiness framework covering approval workflows, recordkeeping, channel supervision, and documentation standards. Learn more at https://www.fmexc.com/
Welcome back everyone. Today we are talking about something that sits at the intersection of compliance and marketing operations — specifically, how firms know whether their advisor content program is actually ready for a regulatory exam, versus just feeling like it is. I have Brian with me, who works with multi-advisor firms on content governance. Brian, thanks for joining. Financial Media Exchange, LLC City: Plymouth Address: 100 Court St. Website: https://www.fmexc.com/