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Client Communications

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The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...
Omni channel technology of online retail business. Multichannel marketing on social media network platform offer service of internet payment channel, online retail shopping and omni digital app.
The enforcement settlements have been so eye-popping, making it impossible for firms to ignore that staff may be using non-approved communications devices for work. So ...
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
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'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 ...
Teens in circle holding smart mobile phones - Multicultural young people using cellphones outside - Teenagers addicted to new technology concept
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 ...
The mid adult loan officer patiently and cheerfully help sthe senior man find the best investment option for retirement savings.
This tool can help staff and clients decide the best option when rolling over funds
Attractive man in glasses working with multiple electronic devices. Freelancer businessman has laptop and smartphone in hands and laptop on table with charts on screen. Multitasking theme.
The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms

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