Client Communications

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

The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating ...

U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one ...

It could not have been an easy e-mail to write for Crawford Lake Capital Management ($679M in AUM). The Lakewood, N.J.-based adviser recently e-mailed its ...

The Securities and Exchange Commission is adopting new rule 30e-3 under the Investment Company Act of 1940. Subject to conditions, new rule 30e-3 will provide ...

This corrects a few items in the earlier SEC proposal calling for a Form CRS.

Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” ...

FINRA requires that you request a Trusted Contact for “each account” of a client 65 years and older under its new senior investor protection rules ...

Under FINRA’s new senior investor protection rules, it’s clear that the new Trusted Contact requirement applies only to non-institutional customer accounts. But what about trust ...

The following FAQs provide information on (1) a “fiduciary status disclosure” issue under the Department of Labor’s ERISA section 408(b)(2) service provider disclosure regulation that ...