Client Communications

Perhaps a client moved to a new address without notifying your firm. Or maybe removed the RIA from his brokerage account. Or even passed on. ...

Click here to open a Word file that is an example of a letter you could use in a case of a data or privacy ...

The calls keep coming into RIA First Western Advisors ($142M in AUM) in Holladay, Utah, from clients who can't seem to discern the difference between ...

The newly revised custody rule includes two requirements that went into effect with the rule March 12: (1) Include a legend with statements to clients ...

The SEC has joined with seven other federal agencies to offer a Web site you can use to construct the appropriate privacy notice for your ...

Surveys of advisers' use of social media are all the rage. Two additional ones bring the total in recent weeks to three (IA Watch, March ...

Data security glows as hot as a Mojave Desert mirage in July (IA Watch, March 1, 2010), so here are more pointers to get it ...

The First Circuit Court of Appeals in Boston handed the SEC - and private practice attorneys - a stinging defeat in a case that claimed ...

Last week we mentioned you should get moving on that new legend requirement for account statements within the revised custody rule (IA Watch, March 15, ...

You have responsibilities to avoid a breach of confidential client data thanks to the SEC's Reg S-P (IA Watch, Nov. 23, 2009), even as attention ...