Client Communications

The SEC charged 10 firms for widespread and longstanding failures to maintain and preserve electronic communications

SEC Enforcement Director reminds that there are "real benefits to self-reporting, remediating and cooperating"

Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again

'This is the new SEC hunting ground. And we all know why—because they can extract great revenues from it. And it’s an easy kill,' says ...

A peer shares an example of a compliance policy and procedure for off-channel communications

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 tool can help staff and clients decide the best option when rolling over funds

The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms

A peer grants RCW permission to share with you the firm's account review form

SEC rules around shareholder reports