Client Communications

This 2014 no-action letter from the SEC permits investment advisers and broker-dealers to share documents with the Certified Financial Planner Board of Standards without fear ...

This report addresses the assessment phase of FINRA's retrospective review of its communications with the public rules. The review is part of an ongoing initiative ...

There’s been something of a push in the media to make limited partner agreements public, especially at public institutions. Sister publication peHUB laid out its ...

Your responsibilities to “know your customer” (KYC) is capsulized in several FINRA rules (IA Watch, July 8, 2013). The most recent one being rule 2090, ...

For some advisers, their clients must go to their custodian’s website, say a Charles Schwab or Fidelity, to glance at their portfolios online. Some build ...

The Investment Company Act of 1940 Section 30-- Reports and Financial Statements of Investment Companies and Affiliated Persons Annual report by company. Every registered investment ...

Securities Act of 1933 Section 10 -- Information Required in Prospectus Information in registration statement; documents not required Except to the extent otherwise permitted or ...

It's common for firms to show potential investors their performance gauged against an index, say the S&P 500. You can even come up with a ...

Last month, we passed along best practices for what to include on invoices (IA Watch, May 12, 2014). Nancy Lininger of The Consortium, a consultant ...

Many firms directly debit their fees and no longer send invoices to clients. However, there can be advantages to dispatching invoices."It's a good idea to ...