Compliance is a major aspect of any professional practice. Our markets and profession are governed by onerous legislation originally intended to province investor protection.
Whilst we strongly support full disclosure of fees and or commissions and most other aspects of Compliance we believe that legislation has become counter productive, cumbersome and will ultimately increase the cost of quality financial advice.
Quantum Planning is audited by our licensor on a regular basis and we maintain extremely high standards of compliance. Our business is process driven and all transactions have at least two professionals inputting their expertise to further enhance our standards and checking systems.
Finally we believe that the best compliance is to have quality, well qualified advisors committed to doing the right thing for the client. Our CLIENT FIRST approach is central to our formal compliance environment and we always act in the client’s best interest.