Compliance Information and Security
Built for compliance. Backed by security. We understand that compliance and client data protection are non-negotiables. Our processes are built to support your regulatory responsibilities, safeguard client information, and streamline your practice with confidence.
Our value
Our systems are designed to safeguard sensitive information during every stage of the process. We follow regulatory guidelines from FINRA, the SEC, and state insurance departments. Our internal compliance team monitors and updates our practices regularly to stay aligned with evolving standards. We also provide pre-approved, advisor-friendly materials that align with regulatory requirements to support your marketing and client engagement efforts. And we use secure, encrypted platforms to protect personal and financial data.
Highland strongly believes in adhering to all applicable privacy laws, including the Gramm-Leach-Bliley Act (GLBA), and follows industry best practices for data handling and protection. And our digital tools provide documentation and tracking features to support your own compliance processes and reporting requirements.
Our advisor support and compliance teams are available to answer questions, provide documentation, or connect with your firm’s compliance department directly.
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