Proper supervision is not an option. Take steps now to prevent these disasters from occurring in your firm:  

• Supervision and compliance cost firms 13% of total revenue
• Firms will spend an estimated $25 billion on compliance-related activities
  • SIA Cost of Compliance Report    View
• Arbitration and litigation are very costly
  • Hartford to Pay $55 million to Settle Directed Brokerage Charges  
  • NASD Fines Citizens Bank Affiliate, CCO Investment Services Corp., $850,000 for Supervisory, Recordkeeping, Telemarketing, Other Violations