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Client Communications (208)
Your search for Client Communications returned 208 results.
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7/25/2019 | Content area: Investment Adviser
A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that the...
7/23/2019 | Content area: Investment Adviser
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. ...
7/18/2019 | Content area: Investment Adviser
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 Commis...
7/11/2019 | Content area: Investment Adviser
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 m...
5/16/2019 | Content area: Investment Adviser
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 inves...
5/02/2019 | Content area: Investment Adviser
Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients.
4/25/2019 | Content area: Investment Adviser
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting many firms don’t have co...
4/25/2019 | Content area: CPO/CTA
It took the CFTC three years after the SEC revised its rules regarding sending annual privacy notices to clients for the Commission to follow suit but...
4/18/2019 | Content area: Investment Adviser
The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for w...
4/12/2019 | Content area: Broker-Dealer
Re: The Money Management Institute   Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessar...
4/11/2019 | Content area: Broker-Dealer
The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms oper...
3/28/2019 | Content area: Investment Adviser
A peer shares the advisory firm's guidelines for fixed income management. You could view this as an investment policy statement.
3/27/2019 | Content area: Investment Adviser
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 misleading e-mails ...
3/27/2019 | Content area: Investment Adviser
A peer shares the advisory firm's IM agreement.
3/21/2019 | Content area: Investment Adviser
We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that ...
3/15/2019 | Content area: Investment Adviser
This is an example of an IPS or investment policy statement.
3/15/2019 | Content area: Investment Adviser
This is an example of an IPS or investment policy statement.
12/03/2018 | Content area: Broker-Dealer
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 i...
11/14/2018 | Content area: Investment Adviser
SIFMA has produced an example of a form you can give clients to obtain a trusted contact to reach out to in case the need arises. Find more from SIFM...
6/22/2018 | Content area: Investment Adviser
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...


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