Client Communications

The proposal would move “fund disclosures to the 21st century” by urging funds to use interactive and “user-friendly design features” to help investors “customize” information ...

Today’s proposal would establish a new disclosure framework for mutual funds and ETFs that modernizes the shareholder reports provided to existing investors and the prospectuses ...

But to many investors, the SRI concept looks at more than just returns. They instruct their advisers to avoid tobacco stocks, industries that contribute to ...

Specify what you will and won’t do regarding these class actions in your advisory agreement and Form ADV disclosures

The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...

A peer shares the form the firm uses to document with the client investment objectives

Hackers could do more damage than that should confidential information be shared between an adviser and its client via Zoom

There are many services designed to help you stay in touch with your colleagues should COVID-19 keep you separated for a long time

The final rule is designed to help investors make informed investment decisions regarding variable annuity and variable life insurance contracts

This form comes courtesy of Kim Collins of Compliance Resource Partners in Highlands Ranch, Colo.