Client Communications

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 ...

Here are two examples taken from recent DOE document request letters sent to advisers by the Division of Examinations and obtained by RCW

E-signatures are often used on private placement memos and subscription docs

A peer shares an example of a form a client would sign to authorize the release of financial information to a third party

A peer supplies an example of a checklist for items that should be in a new account's folder

Be sure your Form ADV, advisory agreements and your P&Ps agree on the source of the assets to be used in the calculation Be aware ...

FINRA will implement changes effective Oct. 1 to its private placement rules

This is an example of a consent form for a client to agree to permit the adviser to release financial information to a third-party