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Client Communications

A peer shares items that should be found within a new client's folder.
This form consists of two separate accredited investor questionnaires (one applicable to individuals and one applicable to entities)
A peer shares the firm's form it uses to document a client's investment objectives
stock share trading traders
We are adopting a new communications rule under the Securities Act of 1933 that permits issuers to engage in oral or written communications with certain ...
A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that they were urging ...
Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles.   This is ...
Facebook entrepreneur Mark Zuckerberg wasn’t even in high school when the SEC issued its 1996 guidance on e-delivery. It’s encouraging that the Commission’s new Form ...
With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients may ...
Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional investors aren’t ...
Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients.
Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting ...
After the initial privacy notice, another one is unnecessary unless these changes occur
The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for work ...
Re: The Money Management Institute  Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessarily agreeing with ...
The brokerage industry certainly sees its fair share of movement of registered reps from one firm to the next and across financial services firms operating ...
A peer shares the advisory firm's guidelines for fixed income management. You could view this as an investment policy statement.
A peer shares the advisory firm's IM agreement.
The Supreme Court March 27 by a 6-2 vote ruled that a key Exchange Act rule permits a defendant to be liable for sending investors ...
We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that reduces the ...
This is an example of an IPS or investment policy statement.
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