Recent Blog Posts

CFP Board Issues Notice Applying Code and Standards to Cryptocurrency-Related Assets

By The Securities Compliance Team on December 14th, 2022

Posted in Investment Management & Securities

The Code and Standards Apply to Financial Advice About Cryptocurrency-Related Assets On December 5, 2022, the CFP Board issued a notice to CFP professionals in response to questions raised regarding cryptocurrency-related assets. Cryptocurrency-related assets, including cryptocurrency, cryptocurrency exchange traded funds, cryptocurrency derivatives, and interests in business entities that provide services… Continue reading

Use of Testimonials Under the New SEC Marketing Rule for Investment Advisors

By The Securities Compliance Team on December 1st, 2022

Posted in Investment Management & Securities

The SEC’s new Marketing Rule compliance date was November 4, 2022. As part of the Marketing Rule, the SEC expanded advisers’ ability to use client testimonials in marketing materials. With these new marketing powers come certain responsibilities pertaining to obtaining testimonials and disclosures which must be made alongside the testimonials…. Continue reading

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100 American Metro Boulevard
Hamilton, NJ 08619
Phone: 609.896.9060
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