BACKEND
Dear User,
Please carefully review and acknowledge the following compliance guidelines before you access and distribute client-specific information. This acknowledgement form is essential for ensuring your adherence to our strict compliance standards.
Entering the backend as an Access Person, please note that:
Access Persons: By accessing client information, you acknowledge and accept that all data is confidential and intended solely for your specific job functions within the SEC-registered investment advisory (RIA) firm. You agree to use the information only for authorized tasks, adhere to all security protocols, and comply with SEC regulations and applicable laws. Unauthorized use, sharing, or mishandling of client information is strictly prohibited and could lead to disciplinary actions, including termination and legal consequences. You must report any security breaches or suspicious activities immediately. By clicking "Accept", you confirm your commitment to these terms, understanding that failure to comply can result in revocation of access and additional disciplinary measures.
If you are logging into the backend as a Promoter, please note
Compliance Acknowledgement:
General Information Sharing Only: As a promoter, you can share general information. It is crucial to understand that, aside from general information, you must not offer any investment advice or insights related to the data provided.
Prohibition of Investment Advice: You are not a registered adviser or broker-dealer in the United States with a regulatory body. Therefore, you are prohibited from providing tailored investment advice, interpreting investment data, or suggesting investment strategies.
Nature of Information:
General Information Only: Any data you share must be general and not customized to individual financial situations or investment objectives. Ensure that all information is factual, verifiable, and presented unbiasedly.
No Personalized Advice: You are to avoid providing personalized financial advice exclusively reserved for licensed and registered professionals.
By accepting, you affirm that you have read, understood, and agree to comply fully with these restrictions. Your commitment to these guidelines is vital for maintaining Davivienda Advisors; integrity and regulatory compliance.
I acknowledge and agree to the Compliance Guidelines as specified.
Thank you for ensuring compliance and upholding the professional standards of Davivienda Advisors.