Client Communications

ColleenMontemarano operates by a simple maxim when she reviews Form ADV brochures for clarity. She thinks of her mother, a retired, second-grade teacher. "I ask ...

A peer shares the authorization form the firm uses to get permission from a client to publish her name.

Click here to open a Word file that is an example of a client authorization form to be included in firm newsletters and its website. ...

Younger generations of investors embrace texting. How can you possibly tell a client you won't communicate via his preferred method

This notice from the CFTC revises the model privacy form under Gramm-Leach-Bliley Act. It would be worth your time to go through this Federal Register ...

All signs point to a relaxation of the ban on general solicitation of private fund offerings as long as sales go to accredited investors. But ...

In 2012, FINRA announced that it was opening up its arbitration process to investment advisers. This was the SRO's form at the time to file ...

Two recent SEC enforcement cases against advisory firms show you'd be wise in choosing your words carefully - especially when disclosing details to clients and ...

The CCO at a dually registered firm opened the deficiency letter following a recent SEC exam to find a surprising demand: Remove the mandatory arbitration ...

This is an example of a due diligence questionnaire, courtesy of Michelle Jacko, CEO of Core Compliance & Legal Services in San Diego.