Compliance & Licensing – Page 6 – Equity Services, Inc

Have You Read the Updated WSPs?

ESI Written Supervisory Procedures Update ESI continually reviews its Written Supervisory Procedures (“WSP”) in accordance with regulatory and business requirements. Effective January 31, 2022,…

Beth KnoxFebruary 9, 2022

Compliance & Licensing Product

Reminder: Additional Disclosures Required for Qualified Plans

Additional Disclosures Required for Qualified Plans Due to new interpretations of its regulations by the Department of Labor (“DOL”), additional disclosure is now required…

Beth KnoxFebruary 1, 2022

Compliance & Licensing

Are you doing qualified plans business?

Due to new interpretations of its regulations by the Department of Labor (“DOL”), additional disclosure is now required for many retirement accounts effective January…

Beth KnoxJanuary 26, 2022

Advisory Solutions Compliance & Licensing

Form ADV Part 2A and Part 2A-Appendix 1 Updates

Effective January 12, 2022, ESI Financial Advisors (“EFA” or “the Firm”) has amended its Forms ADV Part 2A (ES0408) and ADV Part 2A-Appendix 1…

Beth KnoxJanuary 18, 2022

Compliance & Licensing Operations

Reminder: Customer Agreement Amendment Effective January 31st

ESI amended its Customer Agreement and Disclosure (“Agreement”) form to comply with elements of Prohibited Transaction Exemption (PTE) 2020-02, which will go into effect…

Beth KnoxJanuary 11, 2022

Compliance & Licensing Operations

Upcoming Important Year End Dates

Licensing Deadlines TOMORROW! December 31, 2021: Annual Compliance Meeting requirement do for all registered reps. Operations Deadlines December 30th and 31st, 2021: IRA DistributionsDecember…

Beth KnoxDecember 27, 2021

Compliance & Licensing Operations

DOL Update Reminder: Important Reminders Regarding Form Updates and Best Practices for New Forms

Changes Effective as of 12/20/21For ERISA fiduciaries selling insurance products in IRAs, compliance with Prohibited Transaction Exemption (PTE) 84-24 requires that you disclose your…

Beth KnoxDecember 20, 2021

Compliance & Licensing

Reminder: Gift Reporting in Star Compliance

During the holiday season, and throughout the year, many registered representatives (“RRs”) and associated persons (i.e. fingerprinted persons) give or receive gifts. While ESI…

Beth KnoxDecember 20, 2021

Compliance & Licensing Operations

Important Deadlines and Dates to Remember

Licensing Deadlines December 17, 2021: ESI Deadline to get any registration, amendment, or termination request in to allow for ample year and processing as…

Beth KnoxDecember 7, 2021

Compliance & Licensing Operations

Coming Soon for IARs! Documenting Annual Client Contact in Starting Point/Docupace

We heard your feedback regarding documenting your Annual Client Contacts and have made the process easier within Docupace/Starting Point. Beginning November 29th, you will…

Beth KnoxNovember 16, 2021

Third party articles are provided for your information only, and have neither been reviewed nor approved to be used with consumers.
Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser. In CO, MO, NH, and WI, Equity Services, Inc. operates as Vermont Equity Services, Inc. National Life Group® is a trade name representing various affiliates, which offer a variety of financial service products.

Equity Services, Inc. • One National Life Drive • Montpelier, VT 05604 • (800) 344-7437 • www.equity-services.com. All third party entities referenced are independent of Equity Services, Inc. unless otherwise stated.

The inclusion of products and/or services in this communication does not constitute authorization to offer products and/or services. Please contact your contracts and licensing department if you are unsure of your ability to offer the products and services mentioned.

ESI consumer materials linked in ESI Insight have been approved as printed handouts only unless otherwise noted. These materials may neither be emailed to clients or the public, or be used for recruiting purposes, until they have been reviewed and approved as an email attachment to which "opt-out" and other disclosure language has been added to comply with federal SPAM laws.

Variable products are sold by a prospectus which contains more complete information. Please have your clients read it and consider carefully the variable product's objectives, risks, charges and expenses before they invest or send money. The prospectus contains this and other information about the investment company.

Third party articles are for information only and have not been reviewed or approved for use with consumers

For Registered Representative Use Only – Not For Use With The Public
TC7606693(0225)3 | Privacy and Legal Information