Janiczek’s View on Compliance

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Janiczek's View on Compliance
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Janiczek’s View on Compliance

Compliance. According to Merriam-Webster dictionary it means: the act or process of complying to a desire, demand, proposal, or regimen…; conformity in fulfilling official requirements. It’s one of the most important words in the world of Registered Investment Advisers (RIAs). It’s one of the most important fiduciary responsibilities for an RIA.
Compliance

Our ability as a firm to adhere to laws, regulations, guidelines and specifics as dictated by the Security and Exchange Commission (SEC) is a big contributor to the success of our company. We pride ourselves on having the proper tools and disciplines in place such as a Chief Compliance Officer and support team who review, edit and update various mandatory tasks throughout the calendar year. We use a sophisticated compliance software program that keeps us organized and on track to enact and document our compliance.

We have on retainer one of the best compliance attorneys, specializing in registered investment advisers, in the country. We continually seek to educate ourselves on the ongoing issues and solutions in the compliance world. Our aim is to be 100% compliant 100% of the time, utilizing compliance regulations as a tool to better serve and protect our clients from threats such as identity theft, cyber-crimes and natural disasters.

Carole McKeown

Carole McKeownis a Wealth Strategist for Janiczek® Wealth Management. Carole brings 16 years of financial planning experience to Janiczek’s Strength Based Wealth Management Platform. She has a Registered Paraplanner designation through the College for Financial Planning and holds a Life and Health insurance license with the state of Colorado.

cmckeown@janiczek.com
(303) 339-4515

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