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Client Communications

You may consider asking another adviser to represent the interests of one of the joint owners as you advocate for the interests of the other
This one-page form can be used to document a client's choice of either an investment advisory or brokerage account. It comes with fillable fields. Dan ...
You should consider an addendum to your advisory agreement or an entirely separate agreement that the client would sign authorizing you to pay their personal ...
This particular form comes from SIFMA
Here's an example of an agreement to share information between parties
Senior management, including compliance personnel, sent and received business-related text messages
The shareholder report would start with a fund name, ticker symbol, the words “Annual Shareholder Report,” and a legend
Proxy Voting
A peer has shared a copy of the firm's proxy voting guidelines
An example of the SEC's proposed 'tailored' shareholder report for mutual funds
The proposal would move “fund disclosures to the 21st century” by urging funds to use interactive and “user-friendly design features” to help investors “customize” information ...
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