Compliance Guidelines

1. As a member of SOFA, I will conduct myself with the highest degree of professionalism and integrity at all times.

2. Upon my written acceptance of SOFA membership, I pledge to:

• Adhere to SOFA’s Compliance rules and regulations.

• Take quality time to go through SOFA’s Member Handbook (Transformation), as well as the training videos provided me to quickly learn the “SOFA Way”.

• Absolutely not promote my company, firm, or employer at any and all SOFA events.

• Seek written approval from SOFA’s Compliance Department on any material or content I provide during my workshop presentations… including any marketing or promotional pieces.

• Never allow a nonmember to participate as a “SOFA Guest” speaker at any SOFA events that I am participating in. If so, I realize termination of my membership will occur – no exceptions. This is a “zero tolerance” issue at SOFA.

3. I will not infringe upon any one particular venue location currently serviced by another SOFA member. Poaching may result in my immediate membership termination.

4. As a member of SOFA, the nature of all my promotional and presentation content will be for educational purposes only.

5. At the start of every seminar event, I will disclose my profession and communicate the “SOFA Presentation Disclaimer” to ensure transparency and clarity with my audience.

6. I acknowledge that no selling of products will occur during my seminar events.

7. I agree to apply the “SOFA Evaluation Form” in each one of my seminar events. Whether a seminar attendee decides to accept or deny a complimentary consultation, I will honor their request.

8. I agree to submit a current “Activity Report” to SOFA Headquarters, keeping SOFA informed, of all workshops scheduled that I plan to participate at.For each one of my seminar events, I will submit the required information into the “Seminar Events” tab located within my online membership account.

9. With my professional knowledge and expertise, I pledge to bring financial literacy to the people in my community.

10. SOFA compliance video will be watched within my first week of joining SOFA. I faithfully promise to adhere to SOFA?s required stipulations keeping my behavior, actions, and activities beyond reproach.

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