Why Should Advisors Know Global Vs US Client Disclosure Rules? - Wealth Advisor Success Hub

Why Should Advisors Know Global Vs US Client Disclosure Rules? Are you aware of how disclosure rules differ between the United States and other parts of the world? In this informative video, we'll explore the importance of understanding global versus US client disclosure regulations for financial advisors. We’ll cover key differences in laws and standards across regions, including how disclosures about fees, conflicts of interest, and sustainability are handled. You’ll learn what specific regulations like the Investment Advisers Act, Dodd-Frank, and MiFID II require advisors to disclose to their clients. We’ll also discuss practical steps for reviewing client agreements, marketing materials, and reports to ensure compliance with each jurisdiction’s rules. Whether you serve clients in the US, Europe, or both, understanding these differences helps you avoid regulatory fines, protect your reputation, and build trust with your clients. We’ll explain terms like “retrocessions” and “payment for order flow,” and how their disclosures vary globally. This knowledge is essential for providing transparent, compliant advice in an increasingly interconnected world. Join us to learn how mastering these rules can strengthen your practice and ensure you meet your legal obligations. Stay informed and ahead in the evolving landscape of financial regulation.

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