Client Communications

The firm's use of the letter was also improper because it required its clients, all of whom are retail clients, to agree to a waiver ...

The latest SEC off-channel communications cases involving an IA and a B-D have set a new fine floor: no civil penalty

Peirce and Uyeda question whether firms "have an achievable path to compliance" when it comes to off-channel communications

The SEC charged 12 municipal advisors for failing to maintain and preserve certain electronic communications

This is the amended Reg S-P rule regarding privacy notices

These are new privacy procedures dictated by the SEC's 2024 revisions to Reg S-P

Less than 2% of survey respondents permit the use of personal e-mail for business communications

Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern

The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...

The enforcement settlements have been so eye-popping, making it impossible for firms to ignore that staff may be using non-approved communications devices for work. So ...