Posts from July 2019.

In late March, 2018, the Certified Financial Planner (CFP) Board of Standards announced the unanimous approval of a new Code of Ethics and Standards of Conduct.

This replaces the current Code of Ethics, Rules of Conduct, and Financial Planning Practice Standards and Terminology for all CFP-licensed professionals.

Posted in Disclosures

With the passing of every month, the investment industry sees another round of enforcements involving the mishandling of initial coin offerings ("ICOs"). The still nascent landscape of cryptocurrency investing continues to pose significant difficulties for investors, firms, and regulatory...

Posted in Cryptocurrency, ICOs

The proper valuation of client assets is of critical importance for investment advisers. A failure on the part of firms to properly value assets adversely affects key areas of fund operations, including but not limited to: Over or under...

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