Client Communications

A peer shares the advisory firm's IM agreement

Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients

You may consider asking another adviser to represent the interests of one of the joint owners as you advocate for the interests of the other

This one-page form can be used to document a client's choice of either an investment advisory or brokerage account. It comes with fillable fields. Dan ...

This particular form comes from SIFMA

Here's an example of an agreement to share information between parties

Senior management, including compliance personnel, sent and received business-related text messages

The shareholder report would start with a fund name, ticker symbol, the words “Annual Shareholder Report,” and a legend

A peer has shared a copy of the firm's proxy voting guidelines

An example of the SEC's proposed 'tailored' shareholder report for mutual funds