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Compliance Results

0
Critical Issues
0
Warnings
100%
Compliance Score
Issues
Suggestions
Details
Promissory Language Detected
Critical
The phrase "guaranteed returns" was found in your content. This type of language is strictly prohibited by FINRA Rule 2210 and SEC regulations as it may create unrealistic expectations.
Suggestion: Consider using language like "potential returns" or "historical performance" instead, with appropriate disclosures about risks.
Missing Performance Disclaimer
Warning
Your content references past performance but doesn't include the required disclaimer that past performance is not indicative of future results.
Suggestion: Add standard disclaimer language such as: "Past performance is not indicative of future results. Investing involves risk including possible loss of principal."
Spam Trigger Words
Info
Phrases like "act now" and "limited time offer" may trigger spam filters and could be viewed as high-pressure sales tactics by regulators.
Alternative Language Suggestions

Original: "This strategy provides safe and secure returns."

Suggested: "This strategy has historically provided returns, though all investments carry some degree of risk."

Recommended Disclosures

Based on your content and jurisdiction, we recommend adding these standard disclosures:

  • "Investing involves risks including possible loss of principal."
  • "This communication is for informational purposes only and does not constitute investment advice."
  • "Not all products or services mentioned are available in all jurisdictions."
Regulatory Rule Mapping

FINRA Rule 2210: Communications with the public must be based on principles of fair dealing and good faith, must be fair and balanced, and must provide a sound basis for evaluating the facts.

SEC Advertising Rule 206(4)-1: Prohibits any advertisement that includes any untrue statement of a material fact or is otherwise false or misleading.

FCA COBS 4.2: Financial promotions must be fair, clear and not misleading.

Tone Analysis

Your content has been classified as moderately aggressive in tone. Regulators may view this as potentially creating unrealistic expectations.

Consider balancing your language with more neutral or conservative statements about risks and limitations.