Five Star Award Winner Orange County Wealth Manager Certification | Page 10

Complete review with Federal Regulators and a number of State Regulators led to changes in the program .

Compliance / Ad Review

Do NOT MARKET Pre 2012 Program

Complete review with Federal Regulators and a number of State Regulators led to changes in the program .

1 CANDIDATE SELECTION 2 EVALUATION 3 FINAL SELECTION

Ongoing Regulatory Management

Five Star Professional is on a set quarterly schedule with Major regulatory agencies to review program changes and ensure ongoing compliance with regulations .

NON Compliant Wall Plaques , etc

Only wall plaques with the Five Star Logo AND full disclosure are allowed to be used . Usage of other products are NOT sanctioned and put you and your firm at regularity risk .

Compliant Wall Plaque
X

Non Compliant Wall Plaque

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