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Client Communications

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 ...
Jay Clayton
Today’s proposal would establish a new disclosure framework for mutual funds and ETFs that modernizes the shareholder reports provided to existing investors and the prospectuses ...
But to many investors, the SRI concept looks at more than just returns. They instruct their advisers to avoid tobacco stocks, industries that contribute to ...
Specify what you will and won’t do regarding these class actions in your advisory agreement and Form ADV disclosures
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