We're in the OSJ business, so you don't have to be. Our local compliance and OSJ relief help you focus on servicing your clients. We have deep roots in the regulatory industry and understand the impact legal and regulatory issues have on your business. Strong ethical background, combined with the high professional credentials of our management team, give us a strategic edge in working with you. Our Region’s OSJ Manager, Ward Jones, has received the OSJ Manager of the Year award from Cetera. Our other OSJ Managers, Lance and Ron Boyce hold the coveted CFP credentials. Whether you are looking for guidance on communicating with the public or searching for the latest in regulatory updates, we are ready to help you. We will support and guide you through compliance, legal and regulatory issues.
Boyce Financial Group's local compliance team ensures that compliance and operations policies and procedures are in place and current. On a daily basis, our local staff monitors our investment representatives' activities, reviews paperwork, checks suitability, reviews marketing and advertising materials and resolves deficiencies. Our careful examination of your books and records with regular field audits helps you stay in compliance.