Home Investment Advisers IA Rules & Regulatory Actions Failure to adopt advertising P&Ps costs adviser $50k

Failure to adopt advertising P&Ps costs adviser $50k

Banorte advertised hypothetical performance on its public website without adopting and implementing policies and procedures reasonably designed to ensure that the hypothetical performance was relevant to the likely financial situation and investment objectives of the intended audience

Carl Ayers

September 18 2023

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