What is an outside business activity OBA?
Jacque2020-06-25T18:55:53+00:00Any business activity outside the scope of the relationship with The Leaders Group Inc.
I have questions about business cards, disclosures etc. How do I get in touch with the compliance department?
Jacque2020-06-25T18:55:19+00:00All compliance related questions can be answered via email at compliance@leadersgroup.net or by phone
I’ve heard that TLG has a business-friendly compliance department. What does that mean?
Jacque2020-06-25T18:54:15+00:00The compliance department takes pride in facilitating compliant business, simply saying “no” without considering
Why is it important to submit all securities business to TLG prior to sending the application to the product sponsor?
Jacque2020-06-25T18:53:31+00:00State and federal rules, as well as our contracts with product sponsors, require that
Can we text our clients?
Jacque2020-06-25T18:52:39+00:00Texting is now a part of life but needs to be captured correctly. When
What annual compliance requirements does TLG impose on reps?
Jacque2020-06-25T18:51:51+00:00Every year a registered representative will have to complete the following minimum requirements: Annual