Compliance and Regulatory Team

The Compliance and Regulatory Team at NewEdge Advisors ensures that the company adheres to industry regulations and internal policies, safeguarding both the firm and its financial advisors. This team collaborates to monitor compliance practices, conduct thorough audits, and provide guidance on regulatory changes, ultimately fostering a culture of integrity and accountability within the organization. Their efforts help advisors operate with confidence while prioritizing the best interests of their clients.