Regulatory Compliance

IPG is proud of its excellent regulatory record – and we make it a priority to maintain it. Our proactive approach consists of senior management participation in industry organizations and self-regulatory bodies, well-trained, knowledgeable staff, an automated compliance review process, regular field audits, and a progressive continuing education program.

IPG Compliance Department

Our experienced in-house Compliance Department members respond to customer and regulatory inquiries, ensure we always operate in accordance with all licensing and business practice regulations, and advocate for the advancement of issues that are important to all independent representatives.

Compliance expertise you can rely on

Our compliance experts will provide you with assistance and guidance with respect to:

  • All compliance-related technical issues and procedural matters
  • Registration and licensing for both mutual funds and insurance
  • Information on policy changes due to regulatory requirements
  • Regulatory supervisory activities
  • Outside business and account activities
  • Regulatory inquiries and audits
  • Sales practice issues
  • Record-keeping requirements