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Client Communications

No doubt you anticipate more headaches should your firm permit staff to use text messages for work but you may be fighting in vain against ...
Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again
The route most advisers would take to limit avenues of business communications would be via their compliance P&Ps
This Advisers Act rule addresses the delivery of Form ADV
Most advisers deal with this prospect by asking the client who the adviser should turn to if these issues arise. A conservator or an attorney ...
The modern world doesn’t make it easy for compliance officers. The proliferation of personal devices and communications options collides with the need to preserve business ...
Here are two examples taken from recent DOE document request letters sent to advisers by the Division of Examinations and obtained by RCW
E-signatures are often used on private placement memos and subscription docs
A peer shares an example of a form a client would sign to authorize the release of financial information to a third party
A peer supplies an example of a checklist for items that should be in a new account's folder
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