Home Client Communications

Client Communications

The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...
A peer shares the form the firm uses to document with the client investment objectives
Hackers could do more damage than that should confidential information be shared between an adviser and its client via Zoom
There are many services designed to help you stay in touch with your colleagues should COVID-19 keep you separated for a long time
The final rule is designed to help investors make informed investment decisions regarding variable annuity and variable life insurance contracts
This form comes courtesy of Kim Collins of Compliance Resource Partners in Highlands Ranch, Colo.
A transition plan can run as short as 2-3 pages
A 'hire me' conversation "on the golf course, at social gatherings or while running errands" could force delivery of your Form CRS
Stephanie Elliott, CCO at Chapin Davis in Baltimore shares some questions the firm has reps pursue when considering moving an brokerage client to the IA ...
A peer shares items that should be found within a new client's folder.
This form consists of two separate accredited investor questionnaires (one applicable to individuals and one applicable to entities)
A peer shares the firm's form it uses to document a client's investment objectives
stock share trading traders
We are adopting a new communications rule under the Securities Act of 1933 that permits issuers to engage in oral or written communications with certain ...
A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that they were urging ...
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. This is one ...
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 Commission’s new Form ...
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 may ...
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 investors aren’t ...
Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients.
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 ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination