Compliant Advertising –  Breaking It Down (Again) Part 3: Testimonials and Endorsements

Compliant Advertising – Breaking It Down (Again) Part 3: Testimonials and Endorsements

31 August 2021

Main Contributor: Elizabeth Cope, CPA, CSCP, CIPM CEO & Lead Consultant This is the third article in our series to breakdown the updated Marketing Rule.  If you have not been following us, we highly suggest you start with the first in our series, The Definition of an Advertisement, where we summarized the amended Marketing Rule’s definitionsRead More »

Form CRS: Ongoing Obligations

Form CRS: Ongoing Obligations

21 July 2021

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant The one-year anniversary of Form CRS has come and gone, yet there are still questions about delivery requirements and annual updates.  First and foremost, there is NO annual update requirement. However, there are a few important triggers with re-filing your Form CRS, as well asRead More »

ESG Investing Risks & Compliance Implications

ESG Investing Risks & Compliance Implications

02 July 2021

Main Contributor: Gretchen Sturdivan, Creative Director & Client Service Manager Approaching Sustainability The SEC Division of Examinations published a Risk Alert on April 9, 2021, as a result of their exam findings with firms who offer Environmental, Social, Governance (“ESG”) products and services. ESG investing has been an Examination Priority for the SEC for theRead More »