Content Areas

Search Terms


 See More >

Date Range



Client Communications (208)
Your search for Client Communications returned 208 results.
Sorted by Date

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...

Did you find what you were looking for?

Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.