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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
smart confidence asian startup entrepreneur business owner businessman smile hand use smartphone woking in office background
'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
Two business partners sitting down at the office looking at a digital tablet and reviewing documents.
A peer grants RCW permission to share with you the firm's account review form
Woman using laptop while sitting at home.
This is the SEC's revised rule for mutual fund advisers governing making shareholder reports available via the Internet

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