Client Communications

Count another win for the industry in a disclosure case, this time from the 2nd U.S. Court of Appeals in New York. Earlier this month ...

The 2008 TARP law that some say saved the financial system also contained many other regulatory changes. Among these are phased-in IRS rules for shifting ...

We told you in July that - effective Sept. 19th - the SEC had hiked the thresholds for when advisers can charge performance-based fees (IA ...

A peer shares the firm's language added to its subscription documents to alert clients of the need to obtain certain representations to help brokers comply ...

The pace of new technology development, especially when it comes to personal devices and their ability to reach anyone any way can be mesmerizing. "Every ...

Click here to see a cross trade consent form, which comes courtesy of Brookfield Investment Management in New York. This is a Word 2009 file.

This RIA can't be alone. It's gleaming new Form ADV, Part 2 brochure states it has no history of disciplinary problems. Yet the IARD reveals ...

Click here to download a Word file from a peer that can serve as a new account compliance checklist.

This is a frequently—asked—question (FAQ) brochure that the RIA Joseph Capital Management in Hernando, Fla., shares with clients. This comes courtesy of CCO Ron Rhoades.

With luck, it happens every day - your firm welcomes a new client or two or three. Many of your peers play off of checklists ...