Kaufman Rossin’s Post

Staying Compliant with SEC Performance Advertising Rules! 📊🏦 Investment advisers, ensuring compliance with SEC rules is crucial for maintaining trust and credibility with your clients. Here are some key practices: -Present accurate and balanced performance data -Disclose all material conditions affecting performance -Use standardized time periods for consistency By adhering to these guidelines, you can effectively promote your services while safeguarding investor interests. Let's stay compliant and build a trustworthy financial future together! 🌟 #SECCompliance #InvestmentAdvice #FinancialPlanning #Transparency #InvestorProtection #FinanceTips 💡📈

Transparency and Trust in Investment Advertising 📣🔍 In the world of investment advisories, transparency and honesty are paramount. Here’s how to stay on top of SEC performance advertising rules: -Always use clear and prominent disclosures -Regularly review and update performance data -Use genuine testimonials with appropriate disclaimers -Compliance not only meets regulatory requirements but also builds strong, lasting relationships with clients. Let’s strive for excellence and integrity in all our financial communications! 🌐 #SECCompliance #Finance #Investment #Trust #Transparency #FinancialAdvice 🏦📊

The Department of Labor rolled out its new fiduciary rule that significantly impacts the financial services industry.   💡 Key Points: - The Final Rule redefines who qualifies as a fiduciary under ERISA. - Previously, one-time advice wasn't always considered fiduciary advice. The new rule changes that. - The mere provision of investment information or education, without an investment recommendation, is not advice within the meaning of the Final Rule. - It is widely anticipated that the Final Rule will be subject to litigation challenging its enforceability. 🔗 Read the full article: Curious to learn more? Check out our detailed article on the DOL's new fiduciary rule below. It’s a must-read for investors, advisors, and anyone navigating the financial landscape. #DOL #FiduciaryRule #InvestmentAdvice

The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:

The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:

The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:

The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:

The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:

The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here:

The SEC's new private fund rules: 🔹 Restrict certain activities 🔹 Impose new detailed quarterly reporting 🔹 Add several prohibitions and disclosure requirements RSM's latest insight provides considerations for fund managers navigating these changes and complexities. Check them out here: