If you plan on becoming, or already are an NFA member and CFTC registrant your business will be required to adhere to guidelines dictating what is and is not acceptable for use when communicating with public investors. Believe it or not, according to NFA Compliance Rule 2-29 a principal at your firm will be responsible for and is required to not only review but approve all such communications.
Turnkey Trading Partners can help relieve some of your stress as we offer a promotional and solicitation review program. Through our program we will help your company accurately and quickly identify advertising materials which are not likely to be acceptable under Rule 2-29. Of course as a third party we cannot alleviate your need for a principal to sign off on your advertising material, however we can bring you added piece of mind and our expertise.
Let’s face it, some of the largest regulatory fines and harshest penalties in recent memory have come from as a result of deficient communications with the public. Why let that happen to you and your firm? Contact TTP today to speak with a consultant about our promotional and solicitation review programs.