Broker Check

Compliance

OUR COMPLIANCE TEAM

As our industry becomes more and more regulated, Independent Advisors need to know that compliance has their back! Here at Insight we are focused on keeping you compliant and worry free so you can give your business 100% of your attention. Our in-house Compliance Officer and Compliance staff are on top of it all! They handle:

  • Daily requirements
  • Trade blotter review
  • Correspondence
  • New account applications
  • Updating and maintaining RIA