{"id":7302,"date":"2025-01-20T17:16:25","date_gmt":"2025-01-20T17:16:25","guid":{"rendered":"https:\/\/www.blueleaf.com\/blog\/your-compliance-excuses-are-buht\/"},"modified":"2025-01-20T17:16:33","modified_gmt":"2025-01-20T17:16:33","slug":"your-compliance-excuses-are-buht","status":"publish","type":"post","link":"https:\/\/www.blueleaf.com\/blog\/your-compliance-excuses-are-buht\/","title":{"rendered":"Your compliance excuses are bu!!$h!t"},"content":{"rendered":"\n

Your compliance excuses are bu!!$h!t<\/p>\n\n\n\n

A former SEC examiner told me so.<\/p>\n\n\n\n

He said at most firms compliance is either
a) An excuse or
b) Control<\/p>\n\n\n\n

If you’re an independent it’s a)<\/p>\n\n\n\n

\u2192 If you’re working for a
\u2192 Firm that blocks you
\u2192 At every turn, it’s b).<\/p>\n\n\n\n

But if you don’t move firms, it’s back to a).<\/p>\n\n\n\n

So compliance is almost ALWAYS an excuse not to
\u21b3 Do more marketing.
\u21b3 Learn or change technology.
\u21b3 Communicate more with clients.<\/p>\n\n\n\n

\u2192 The need for compliance is real
\u2192 But at most firms it should
\u2192 Just be called Control.<\/p>\n\n\n\n

When you remove the fear, being compliant is pretty simple it turns out.<\/p>\n\n\n\n

\u2192 Do the right thing for the client.
\u2192 Record everything and be able to reproduce it.
\u2192 Follow a few rules on process, depending on your state\/SEC.<\/p>\n\n\n\n

Anyone who tells you any different is full of $h!t<\/p>\n\n\n\n

\u2192 But the worst part is
\u2192 The industry itself uses the
\u2192 Scary headlines to sell you things.<\/p>\n\n\n\n

Ideas – Consulting – INACTION<\/p>\n\n\n\n

You see the less you understand and think for yourself,<\/p>\n\n\n\n

\u2192 The more you
\u2192 Depend on them
\u2192 And buy from them.<\/p>\n\n\n\n

\u2192 F.U.D. (Fear, Uncertainty, Doubt)
\u2192 Still sells, unfortunately.
\u2192 Think for yourself.<\/p>\n\n\n\n

And move your business forward.<\/p>\n\n\n\n

So go ahead and:
\u21b3 Communicate by text – But keep records.
\u21b3 Use technology and even AI – But Don’t share PII.
\u21b3 Use media to get your message out to prospects. – But be smart<\/p>\n\n\n\n

And if your firm complains and you’re doing all the right things.<\/p>\n\n\n\n

Move on.<\/p>\n\n\n\n

How has compliance been used to hold you back?<\/p>\n\n\n\n

\"\"<\/a><\/figure>\n","protected":false},"excerpt":{"rendered":"

Your compliance excuses are bu!!$h!t A former SEC examiner told me so. He said at most firms compliance is eithera) An excuse orb) Control If you’re an independent it’s a) \u2192 If you’re working for a\u2192 Firm that blocks you\u2192 At every turn, it’s b). But if you don’t move firms, it’s back to a)….<\/p>\n","protected":false},"author":2,"featured_media":7304,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"content-type":"","om_disable_all_campaigns":false,"_monsterinsights_skip_tracking":false,"_monsterinsights_sitenote_active":false,"_monsterinsights_sitenote_note":"","_monsterinsights_sitenote_category":0,"_uf_show_specific_survey":0,"_uf_disable_surveys":false,"footnotes":""},"categories":[1],"tags":[],"class_list":["post-7302","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-uncategorized"],"aioseo_notices":[],"_links":{"self":[{"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/posts\/7302","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/comments?post=7302"}],"version-history":[{"count":0,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/posts\/7302\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/media\/7304"}],"wp:attachment":[{"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/media?parent=7302"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/categories?post=7302"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.blueleaf.com\/wp-json\/wp\/v2\/tags?post=7302"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}