Compliance and Risk Management

Compliance and Risk Management

Bennett, Mastin & Kosmak, Inc. strives to help you manage risk and keep current with fast changing regulations while saving you time and resources by delivering customized support for your business model.

Benefits to your Program

  • Local OSJ/Compliance Support.
  • Comprehensive, integrated document imaging that allows you to run a more efficient office.
  • Clear, concise policies and procedures for keeping you current with regulations.
  • Automated books and records tool.
  • A sophisticated rules engine that pre-flags accounts and trades for suitability.
  • Side-by-side variable annuity contract comparison generates a summary for 1035 exchanges.
  • Local guidance and support for compliance issues.
  • Clarity on building a compliant profitable business model.
  • Problem Solving.
  • Dedicated Resource Desk.
  • Annual branch office inspections conducted by Bennett, Mastin & Kosmak, Inc.
  • Annual Compliance Day/Branch meeting.

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