UX Wealth and THOR are now one firm. The platform you know as Xperience is now THOR ONE.Looking for UX Wealth? You are in the right place. UX Wealth and THOR are now one firm, and the platform you know as Xperience is now THOR ONE.
Talk to us Schedule a call Call 888-438-8997 A person answers · twenty minutes · no scripts

Glossary · Compliance and regulation

Books and records

Books and records are the documents an advisor is required to create and retain, including advertisements, performance support, trade records and client communications.

The requirement is not only to have the records but to be able to produce them, which is why records scattered across five vendors become a problem at exactly the moment they matter.

Related

Marketing ruleForm ADVAudit trail

Questions this did not answer? Ask them directly — that is what the twenty minutes is for.

Schedule a call Call 888-438-8997

← All terms