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Financial Professionals who have completed the Compliance Standards Program have elected to enhance their business by taking compliance with laws and regulations to the next level. Unlike many of their non-CSP peers, the CSP Member has voluntarily invested significant time and energy into developing and maintaining best practices and processes in a number of core areas of their business, all of which are geared toward protecting their clients. These areas include:


CSP Members maintain processes to help ensure all advertising they utilize is fair and balanced and meets all regulatory requirements. This practice ensures that consumers are provided with the information they need in order to make informed decisions about their money and helps protect against advertising that is inaccurate or misleading. You need to know the facts about the financial products and services available to you, and the Advertising component of the CSP makes it easier to trust that you have the information you need.

Sales Practices

There are virtually thousands of financial products and strategies available today, and not all of them will work for you. There are also a number of sales practices that are inappropriate or prohibited by law, such as selling financial products without the proper license, using scare tactics or coercion, abusing the trust of seniors, and more. CSP Members have undergone training on high risk and prohibited sales practices and committed to using only ethical sales practices in their business.


It’s crucial that the recommendations made by your Financial Professional are appropriate and help you reach your financial needs. CSP Members have implemented procedures to perform a detailed analysis of your needs and the financial vehicles available to help support the recommendations they make for you. This process ensures the Member has a consistent, repeatable process in place for gathering your financial information, goals and objectives and translating this into financial solutions designed for your unique needs.


With an ever-increasing reliance on technology in the financial world, the risks of data breaches or identity theft are greater than ever. While no one is 100% safe from a data breach or incident, you need the assurance that the Financial Professional with whom you trust your data takes your privacy seriously.  CSP Members have undergone a review of their data protocols and have processes in place to help protect the data they collect and store through the course of business. 


CSP Members participate in compliance training throughout each year to help them understand the myriad complex laws and regulations, gain practical solutions to meet them, and keep abreast of the ever-changing regulatory environment. This helps ensure your Financial Professional can manage today’s risk with an eye toward changes on the horizon that could affect you and your money.

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