Books and Records

Click here to open a Word document. This is an example of a conflicts questionnaire. It comes from a peer. The firm would have staff ...

Here are several examples of e-mail disclaimers contributed from some of your peers.

A peer shares the firm's policy on whether to retain or shred documents.

Look up Advisers Act rule 204-2(d) and you'd see that it permits use of a code to identify a client. The language reads:Any books or ...

Whether it's an e-mail, proxy service, portfolio management, document repository or some other vendor, your firm likely turns to a third-party to house key records. ...

This case featured a father trying to hide the sins of his son. It also features books and records violations, among others.

Beginning last fall, the SEC launched a sweep exam into whether fees paid by mutual funds to sub-transfer agents and others are really disguised reimbursement ...

Dually-registered firms that have customers that are receiving both brokerage and investment advisory services could simplify their record retention practices for those accounts by applying ...

Younger generations of investors embrace texting. How can you possibly tell a client you won't communicate via his preferred method

How would you feel if this happened to you? David Nosal left his employer but then persuaded former colleagues to log into the company's computer ...