Compliance & Legal

IFP believes in providing a balanced approach to compliance oversight. This means we strive to keep your firm compliant while maintaining an open mind.

Solutions and Context

Rather than giving a blanket denial, we attempt to find an amicable solution to your request. If we can’t, we will provide the rationale and regulation, where applicable, that support our decision. We believe that the word “no” should be our last resort.

Customized Compliance and Logical Guidelines

Large firms often rely on broad surveillance rules that put every financial professional in the same box. IFP strives to provide individualized compliance oversight, allowing you to spread your wings while remaining compliant.

Legal Resources

Financial professionals have a number of legal needs for their clients. To address this, we’ve created a 'Bank of Experts' consisting of estate planners, trustees, and ERISA attorneys at pre-negotiated hourly rates. When you need help, we’ve got you covered.

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IFP Compliance Support

The IFP compliance department provides regulatory oversight to our network of financial professionals through an educational approach.

Keith Kessel

Chief Compliance Officer

Rick Nummi

Outside Counsel & Examiner