Client Communications

A peer shares its privacy policy statement.

RIAs are under no obligations under the Advisers Act to return a client's forms for these legal actions

You may consider describing your firm's business continuity plan to clients and prospective clients via your website. Alabama gets hit from time to time by ...

The lawyers may debate the fine-print of SEC regulations regarding the delivery of Form ADV, Part 2 but many firms already embrace the idea of ...

Like a parent spending time with her child, an adviser that regularly communicates with clients finds success. Advisers that spend between 30-34 hours each week ...

What a stunning statistic: Over the next 20 years, 10,000 Americans will turn 60 years old every 24 hours.Tod Sawicki, a partner with Alston Bird ...

The need for adequate disclosure ripples through the advisory industry like an unabated stream. The flow doesn't end when you hand off clients to sponsors ...

It's a situation almost any adviser could find itself in these days when valuations fluctuate or defy easy assessment. Earlier this month the SEC dropped ...

Client complaints are more likely in a shaky market, although they can arise at any time. Some firms experience few, if any, while others attract ...

There will be more people looking out for signs of financial fraud against seniors, under a new national initiative that aims to get doctors to ...