Client Communications

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 ...

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 ...