Comprehensive Client Disclosure Document Services

Client disclosure documents are being scrutinized more closely than ever before by regulatory authorities as the number of regulatory enforcement actions continues to rise.

In order to help you create thorough and understandable client disclosure statements based on the data provided to you, MAH Advising (“MAH”) offers a full range of proactive services. This allows your clients to make informed decisions. MAH helps you in matters related to business disclosure statements.

Our professional staff drafts and reviews client disclosure documents following various legislative acts, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, and FINRA regulations, as applicable. We provide recommendations on improving existing client disclosure documents after evaluating them.

We draft, assess, and revise the following:

• Form ADV Part 2
• Client agreements
• Investment policy statements and new account forms
• Offering documents
• Private placement memorandums
• Performance
• Advertising and sales literature disclosures
• Materials for performance marketing
• Response to requests for proposals (RFPs) & questionnaires
• Wrap fee program client documents
• Mutual fund client documents
• Hedge fund client documents
• Financial plan documents
• Quarterly performance reports
• Monthly/quarterly invoice statements
• Section 408(b)(2) disclosures
• Performance Advertising Disclosures

SEC registrants will have to abide by the New Marketing Rule as of November 4, 2022. It gives investment advisers the first opportunity to include client testimonials in electronic media outlets, such as reviews and recommendations. It also changes how firms present their performance and disclose their use of solicitors. For some businesses, this will significantly affect how they currently advertise and sell their products. It will also necessitate updating existing procedures and policies, redrafting solicitor agreements, and developing new internal controls by advisory firms.

Our team at MAH has decades of experience creating commercial disclosure statements that adhere to performance advertising laws. We assist businesses in comprehending the “dos and don’ts” of marketing and offer disclosures based on regulatory requirements and industry standards.

MAH can evaluate your client’s marketing materials, social media posts, firm advertisements, and solicitor agreements under the Investment Advisers Act of 1940, the updated Rule 206(4)-1, and, if necessary, the Global Investment Performance Standards (GIPS). Our professionals are well-known nationally for their compliance with performance advertising.

For additional help or information related to investment advisor FORM ADV or NY disclosure forms, talk to the team here at MAH Advising LLC. Our professionals have extensive experience in helping clients with FORM ADV online and New York disclosure forms.