Client Communications

A transition plan can run as short as 2-3 pages

A 'hire me' conversation "on the golf course, at social gatherings or while running errands" could force delivery of your Form CRS

Stephanie Elliott, CCO at Chapin Davis in Baltimore shares some questions the firm has reps pursue when considering moving an brokerage client to the IA ...

A peer shares items that should be found within a new client's folder.

This form consists of two separate accredited investor questionnaires (one applicable to individuals and one applicable to entities)

A peer shares the firm's form it uses to document a client's investment objectives

We are adopting a new communications rule under the Securities Act of 1933 that permits issuers to engage in oral or written communications with certain ...

A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that they were urging ...

Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. This is one ...

Facebook entrepreneur Mark Zuckerberg wasn’t even in high school when the SEC issued its 1996 guidance on e-delivery. It’s encouraging that the Commission’s new Form ...