Don’t be caught off guard when regulators request information about your sales practices and recordkeeping standards. Use our tips and checklist to assess and review:

• What procedures you use to complete common tasks
• Whether your processes comply with regulations
• If staff responsibilities are clear and appropriate

Tips for Conducting a Self-Audit of Your Practice helps you examine and, when necessary, revise your organizational methods to ensure that you maintain your reputation for integrity and reinforce your clients’ trust. What could be better for your business?