Effective Date: April 11, 2025
Finalyze, operated by Advisor Growth Technologies ("Company," "we," "our," or "us"), is an independent technology service provider and is not affiliated with, endorsed by, or connected to the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), or any other regulatory body or self-regulatory organization. The Company does not possess regulatory authority and does not provide official interpretations of securities regulations or FINRA rules.
The Finalyze platform ("Services") is designed to assist financial professionals with communication compliance efforts but does not guarantee regulatory approval or compliance with all applicable rules, regulations, or firm-specific policies. The effectiveness of our Services depends on proper implementation, appropriate usage, and the specific regulatory environment applicable to each user.
Our Services utilize technological solutions that, while sophisticated, have inherent limitations. No automated system can identify all potential compliance issues or replace human judgment in regulatory matters. The Company's algorithms and methodologies are continuously evolving and may not address every nuance of financial regulations.
The guidance, suggestions, and analyses provided through our Services constitute informational resources only and should not be construed as legal, compliance, or regulatory advice. The Company does not practice law or provide professional compliance consulting services. Users should not rely solely on our Services when making determinations regarding regulatory compliance obligations.
Users remain solely and ultimately responsible for ensuring all communications comply with applicable regulations, firm policies, professional standards, and industry best practices. Our Services are intended to supplement, not replace, a comprehensive compliance program and proper professional oversight.
Users should independently verify all suggestions, guidance, and analysis provided through our Services. We strongly recommend consulting with your compliance department, legal counsel, or qualified compliance professionals before implementing any suggestions or relying on analyses provided through our platform.
Many financial institutions and broker-dealers maintain specific policies and procedures that may be more restrictive than general regulatory requirements. Our Services do not systematically incorporate firm-specific policies unless explicitly configured to do so. Users must ensure compliance with their organization's internal guidelines in addition to general regulatory requirements.
Our platform may help identify potential compliance issues, but does not constitute a formal "review" or "approval" of materials as might be required by regulatory bodies or firm policies. Use of our Services does not exempt users from obtaining appropriate approvals from designated principals, compliance departments, or other required reviewers within their organizations.
Our Services may reference, incorporate, or link to third-party content, including regulatory guidelines or educational materials. Such references do not constitute endorsement of or responsibility for third-party content. Third-party sources should be independently verified and evaluated by users.
To the maximum extent permitted by applicable law, the Company disclaims all warranties, express or implied, regarding our Services, including but not limited to warranties of accuracy, completeness, or fitness for a particular purpose. In no event shall the Company be liable for any direct, indirect, incidental, special, exemplary, or consequential damages arising from use of or inability to use our Services, even if advised of the possibility of such damages.
Financial communications involve inherent compliance risks. Use of our Services does not eliminate these risks. Users acknowledge that regulatory standards evolve, and interpretations may vary among regulators, examiners, and compliance professionals. Regulatory determinations are ultimately made by regulatory authorities, not by our technology.
By using our Services, you agree to indemnify and hold harmless the Company, its officers, directors, employees, and agents from any claims, damages, liabilities, costs, or expenses arising from your use of the Services or your violation of this Disclaimer.
Any educational content, compliance insights, or industry information provided through our Services is offered for general informational purposes only. While we strive to keep such information accurate and up-to-date, we make no representations or warranties regarding the completeness, accuracy, reliability, or suitability of this information.
This Disclaimer may be updated periodically to reflect changes in our Services, applicable regulations, or industry practices. Continued use of our Services following any modifications constitutes acceptance of the revised Disclaimer.
This Disclaimer shall be governed by and construed in accordance with the laws of the State of Delaware, without regard to its conflict of law provisions.
Questions or concerns regarding this Disclaimer should be directed to:
This Disclaimer was last updated on April 11, 2025.