Compliance
Monthly Email Review
Date
Broker
Justin
Shane
Ian
Angela
Blake
Heather
Patrice
Paul
Jim
Tim
Cody
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Mark each box to acknowledge the statement.
No Claims regarding seasonal trades;
No Claims regarding historical price moves
No Claims regarding price movements that are characterized as conservative estimates when in fact such price movements would be dramatic;
No Claims using certain pricing data for a product different from the one being marketed in the promotional material
No Claims containing profit projections
No Claims containing “cherry picked” trades
No Claims regarding mathematical examples of leverage as a means of suggesting that prospective customers are likely to earn large profits from trading
No Use of hypothetical results when there are three months or more of actual trading results for the offered program
No Guarantees against loss.
No Statements that may be misleading in connection with a customer’s decision to entrust funds to and otherwise do business with ADMIS.
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