Client Communications

With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients may ...

Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional investors aren’t ...

Best practices include adding language to your terms of employment that prohibits a departing employee from taking sensitive client data; having departing employees sign an ...

After the initial privacy notice, another one is unnecessary unless these changes occur

Re: The Money Management Institute   Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessarily agreeing ...

The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms operating ...

A peer shares the advisory firm's guidelines for fixed income management. You could view this as an investment policy statement.

The Supreme Court March 27 by a 6-2 vote ruled that a key Exchange Act rule permits a defendant to be liable for sending investors ...

We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that reduces the ...

This is an example of an IPS or investment policy statement.