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Client Communications
This tool can help staff and clients decide the best option when rolling over funds
The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms
A peer grants RCW permission to share with you the firm's account review form
SEC rules around shareholder reports
This is the SEC's revised rule for mutual fund advisers governing making shareholder reports available via the Internet
No doubt you anticipate more headaches should your firm permit staff to use text messages for work but you may be fighting in vain against ...
The route most advisers would take to limit avenues of business communications would be via their compliance P&Ps
This Advisers Act rule addresses the delivery of Form ADV
Most advisers deal with this prospect by asking the client who the adviser should turn to if these issues arise. A conservator or an attorney ...
The modern world doesn’t make it easy for compliance officers. The proliferation of personal devices and communications options collides with the need to preserve business ...