Complying with SEC Marketing Rule : Andes Risk

Complying with SEC Marketing Rule

Getting Started with the SEC Marketing Rule on Andes

This article covers: Understanding the Fee Structure on Andes Firm-Level Fee Preference Related articles: (For Firm Admins) How to Setup the Fees on...

Thu, 11 May, 2023 at 6:03 AM

(For Firm Admins) How to Setup the Firm-Level Fee Preference in Andes

Step 1: Log in to Andes To get started, log in to Andes platform using your login credentials. Step 2: Go to the Setup Tab > Firm Setup tab Naviga...

Thu, 11 May, 2023 at 6:13 AM

How to Setup the Household-level Fees on Andes

Advisors can specify the maximum fee or advisory fee at a household level. These are for scenarios when the advisors want to set a different fee from the fi...

Thu, 11 May, 2023 at 6:14 AM

Enhancements on the Interactive Tools for the SEC Marketing Rule

As part of our commitment to complying with regulatory requirements and ensuring that our clients are well-informed about their investment choices, we have ...

Thu, 11 May, 2023 at 6:14 AM