Culture of Compliance

We work to cultivate a culture of compliance within our firm that adheres to the highest standards of ethics and client service.


1st Global believes that a culture of compliance must be part of every wealth management firm's core business model. This means establishing, from the top of the organization down, an overall environment that fosters ethical behavior and decision-making. Simply put, it means instilling in every employee an obligation to do what's right.

This culture will underpin all that the firm does, and must be part of the essential ethos of the firm, so that when employees make decisions, large and small, and regardless of who's in the room when they make them, and whether or not lawyers or regulators or clients or anyone else is looking, they are guided by a culture that reinforces doing what's right.

Importantly, a firm's culture of compliance exists outside the compliance department — it exists throughout the firm.

Enhanced Compliance and Licensing Platform

1st Global partners with RegEd to provide all affiliate partners with an enhanced compliance and licensing platform that transforms how they fulfill their compliance and licensing responsibilities. The platform provides new, modern capabilities to help affiliated financial advisors and firms gain substantial internal efficiencies and provide them with a centralized, streamlined and user-friendly experience.

Compliance and Licensing

Education and Training


Our goal is to provide training to our advisors that is comprehensive, relevant, proactive, current, timely and easily accessible. We increase our advisors’ awareness and understanding of regulatory issues and requirements, as well as the firm’s policies and procedures, create educational resources, and provide group and one-on-one training. Our enhanced understanding of current regulatory requirements and 1st Global policies and procedures enables advisors to adopt and maintain compliant and ethical sales practices.

Risk Management


Reducing regulatory, legal, operational, security, privacy, conflict-of-interest, disclosure and customer complaint risks, and the preservation or enhancement of the advisors’ ethical image is key to building a thriving wealth management enterprise. We consult with affiliate CPA firms and financial advisors on relevant laws, regulations, and procedures on an ongoing basis and provide oversight, surveillance and monitoring.

Regulatory Requirement Fulfillment


Our purpose is to enable advisors to achieve full compliance with the letter of the law in the most “business-friendly” way possible. We seek to make it as effortless as possible for our affiliate CPA firms and financial advisors to effectively fulfill regulatory requirements in the areas of recordkeeping, regulator-specific disclosures, and client-related responsibilities. Together, we reduce risk to the CPA firms’ wealth management business and help free up the firms’ resources to focus on core business-generating activities.

Licensing


1st Global's experienced licensing specialists are equipped to answer any of your questions throughout the application and testing processes and will assist your firm with all of the paperwork and applications necessary to affiliate. 1st Global has automated, paperless systems for completing licensing paperwork and for managing and renewing your licenses once you have joined our firm.

Compliance and Licensing

The 1st Global Compliance and Licensing teams work together to make regulatory requirement fulfillment as business-friendly as possible for advisors and their clients. The Compliance team educates advisors on industry regulations, conducts office inspections, reviews advertising and other materials, and collaborates with advisors to find solutions. The Licensing team processes, reviews and manages advisor licenses and securities applications and provides continual support to advisors through testing process.