Client Communications

Hard to believe it was one year ago when most firms were hustling to produce their first plain-English Form ADV brochure. With one brochure under ...

The latest warning comes from FINRA, which last week put out an investor alert about "email hack attacks." The SRO cited "an increasing number of ...

Dodd-Frank ordered that the value of a person's primary residence not be considered when determining if a person's net worth tops the $1 million threshold ...

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 ...