Client Communications

Less than 2% of survey respondents permit the use of personal e-mail for business communications

Nearly two-thirds of survey respondents flagged off-channel communications as their top compliance concern

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 ...

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

'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 ...