Defending Your Practice
Watch this webinar replay to learn about the crucial role of documenting the sale.
Recommend a Trusted Contact Person to Clients
Advisors should take reasonable steps to have clients name a Trusted Contact Person and document to their file.
Learn about HUB's Code of Conduct and Rules of the Company.
Learn about HUB's Code of Conduct and Rules of the Company.
Your Compliance Checklist
Download this document which outlines your broker responsibilities.
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Your Regulatory Compass
Your guide to navigating the ever-changing landscape of industry regulations.
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Client File Tools
Templates and resources for managing client files accurately and efficiently.
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Licensing and EO
Our coverage can protect you from claims arising from actual or alleged errors, omissions or negligent acts in the services you provide to your clients.
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