Annual ADV Amendment Prep

Annual ADV Amendment Prep

08 March 2022

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant Introduction It’s that time of year again. Annual ADV amendments must be filed by March 31st for advisors with a fiscal year end of December 31st.  Hopefully you have started a work-in-progress (“WIP”) version of your ADV Part 2A with notes to help you withRead More »

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 »