Spot compliance gaps in investment marketing.
What it does
Guides users in identifying compliance issues in investment advertising and marketing materials.
When to use it
Use for questions about investment advertising, performance presentations, testimonials, social media communications, ratings, recordkeeping, or marketing approval.
How to use it
Give it a question about investment advertising; it explains applicable compliance requirements and potential violations.
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This skill
SEC
Read
Checks current SEC guidance
FINRA
Read
Checks current FINRA sources
FinCEN
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Checks current FinCEN sources