Client Communications

Here are several examples of e-mail disclaimers contributed from some of your peers.

SIFMA persuaded the agency because "it will be unfeasibly difficult and expensive for broker-dealers to implement procedures and controls and make necessary technology changes to ...

Look up Advisers Act rule 204-2(d) and you'd see that it permits use of a code to identify a client. The language reads:Any books or ...

The staff’s view is that funds may electronically deliver to their shareholders the required “written statement” describing the sources of their distributions.

Thanksgiving Day dinner can be uncomfortable enough without Uncle Al constantly grumbling under his breath about how you messed up his portfolio.That prospect could cause ...

A dissolving marriage can be war for the couple, especially over money, and their adviser can easily be hit with the shrapnel. One adviser found ...

The Supreme Court decision striking down a key part of the Defense of Marriage Act (DOMA) might not affect compliance professionals at broker-dealers in the ...

While you don't have to have a CRM, one CCO tells us SEC examiners actually inquired about the firm's system during a recent visit. And ...

It takes only one or two days a year of Bob McCulloch's time but the managing director and vice chairman with Hunter Associates in Salem, ...

A recent FINRA settlement with a former Merrill Lynch rep illustrates the wisdom of having good safeguards in your procedures surrounding the transferring of customer ...