Client Communications

This worksheet, kindly supplied by a peer, can be used to document the setting up of a new taxable account.

A peer shares a worksheet used to document compliance with new account procedures by operations. The firm uses this worksheet each week, examining the new ...

Want another instance illustrating the difference between investment advisers and broker-dealers? Arbitration clauses. B-Ds are permitted to hold clients to binding arbitration of disputes; RIAs ...

A peer shares the firm's annual privacy notice.

This is the model privacy form from the government designed for firms with no affiliate opt outs.

This is the government's model privacy form for firms with an affiliate but no opt out.

This is the government's model privacy notice for firms without an affiliate and no opt out.

A copy of the government's model privacy notice for financial firms. This one is designed for firms with affiliates in which the client wishes to ...

This is a sample hedge fund subscription agreement courtesy of Thomas Gallagher, a partner at Baker Hostetler in New York.

This is a sample subscription agreement for a private equity fund courtesy of Thomas Gallagher, a partner at Baker Hostetler in New York.