Compliance Reminder: SEC’s Focus on Client Investing Awareness
I want to include a message from the SEC in this compliance reminder. The SEC has created videos (less than a couple of minutes each) and placed them on their website, www.investor.gov, for potential investors to watch so that they understand the risks of the financial world. Unlike previous Compliance Reminders, which talks about the cans and can nots about compliance, this information is looking from the Client’s perspective. With this information you now may know what a potential educated Client may ask when they meet with you. This could also be good story to a potential Client if you shared the website with them so they know that you are diligent in your research to safe guard your Clients investment and that you are aware of the risks in investing.
Here are some videos links from the SEC:
Please visit the www.investor.gov site to view more videos or gather additional information that may help clarify or ease your clients worries when you meet with them.
If you have any questions regarding this reminder, please contact Jerry Moore.
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