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Client Communications (149)
Your search for Client Communications returned 149 results.
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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...
4/18/2019 | 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...
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
A peer shares the advisory firm's IM agreement.
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 ...
3/21/2019 | 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.
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...
6/21/2018 | Content area: Investment Adviser
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...
6/06/2018 | Content area: Investment Adviser
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...
5/23/2018 | Content area: Investment Adviser
This corrects a few items in the earlier SEC proposal calling for a Form CRS.
4/26/2018 | Content area: Investment Adviser
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” and in a font ...
4/24/2018 | Content area: Investment Adviser
A peer shares the form the firm uses to document with the client investment objectives.
4/24/2018 | Content area: Investment Adviser
A peer shares the firm's form it uses to document a client's investment objectives.
1/02/2018 | Content area: Investment Adviser
Click here to open a Word file that is an example of a form a client would sign to authorize the release of financial information to a third party.


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