Compliance Center
Our editorial standards, disclosure framework, and commitment to transparent, balanced financial education.
What we are
- Yes: An educational publisher focused on financial literacy
- Yes: A source of balanced, researched content
- Yes: A tool to help you ask better questions
- Yes: Committed to citing sources and disclosing limitations
What we are not
- No: A registered investment adviser (RIA)
- No: A broker-dealer or financial services firm
- No: Providing personalized investment, tax, or legal advice
- No: Authorized to accept orders or process transactions
No-Orders Policy
We cannot and will not:
- Accept trading instructions via chat, email, forms, or any other channel
- Process account changes, transfers, or withdrawals
- Recommend specific securities, funds, or investment products
- Provide timing recommendations for buying or selling
For account-related actions: Contact your financial institution directly through their official, secure channels. Verify you are communicating through legitimate websites and phone numbers.
Privacy and Data Minimization
What we do NOT collect in chat/forms:
- Social Security Numbers (SSN)
- Account numbers or login credentials
- Date of birth (full)
- Full home address
- Detailed financial account balances
If you need personalized advice: We will direct you to contact a qualified professional through secure channels. We display "just-in-time" privacy notices before any data collection.
Aligned with Regulation S-P privacy requirements and industry best practices.
How We Review Content
All articles undergo editorial review for clarity, balance, and accuracy before publication. We verify that sources are cited, risks are disclosed, and language avoids promotional or guarantees-based claims.
Every article displays a "Last reviewed" date. We commit to periodic review cycles, with updates when regulations, tax laws, or market conventions change materially.
Content is reviewed for clarity and balance by our Editorial Standards team. This is not legal, tax, or individualized investment advice. Reviewers apply a "fair and balanced" communications framework aligned with FINRA guidance for educational content.
AI Transparency
If we deploy an AI assistant (e.g., "Ask the Brief"), it will:
- Be clearly labeled as "Educational" and "Not personalized advice"
- Refuse to provide investment recommendations, trade timing, or personalized tax guidance
- Offer a "Request a human" escalation option for complex questions
- Log prompts and responses for quality assurance and compliance supervision
All AI-generated responses are subject to the same "no personalized advice" and "no orders" policies as our written content.
Concierge Matching
Concierge Match is an educational routing service. It helps you find relevant learning paths and, if you choose, connects you to verified financial professionals. It is not a recommendation, endorsement, or referral service.
We do not rank advisors by performance, display reviews or testimonials, or guarantee outcomes. Introductions are provided on a concierge basis only. Chicago Wealth Solutions is not responsible for the services, advice, or conduct of any third-party professional.
Only if you request an introduction: first name (optional), contact method (email or phone), general topic preference, and meeting preferences (optional). We never ask for SSN, account numbers, DOB, full address, or balances.
Users are explicitly warned not to include sensitive personal or account information at every input point. We display "just-in-time" privacy reminders before data collection.
All partner professionals undergo license verification via independent sources (BrokerCheck, SEC IAPD, or state boards). Users are encouraged to independently verify credentials before engaging any professional.
As of December 2024, Chicago Wealth Solutions does not receive compensation for introductions. If this changes, we will disclose it clearly and update this policy.
Corrections Policy
If we identify a factual error in published content:
- 1. We will correct the content promptly
- 2. We will update the "Last reviewed" timestamp
- 3. Material corrections will be noted in a "Corrections" section at the bottom of the article
- 4. We maintain version history for auditing purposes
To report an error: Contact us at info@chicagowealthsolutions.com
Disclosures and Conflicts Framework
Books and Records / Supervision
We maintain records of:
- All published content versions and timestamps
- Editorial review approvals and review dates
- AI prompt/response logs (if AI assistant deployed)
- User contact requests and escalation records
Retention periods align with industry best practices for educational content publishers.
Contact for Compliance Inquiries
For questions about our compliance framework, corrections, or privacy practices:
Email: info@chicagowealthsolutions.com
Disclosure ID: COMP-001 | Last updated: December 18, 2024