Client Communications

The First Circuit Court of Appeals in Boston handed the SEC - and private practice attorneys - a stinging defeat in a case that claimed ...

Last week we mentioned you should get moving on that new legend requirement for account statements within the revised custody rule (IA Watch, March 15, ...

You have responsibilities to avoid a breach of confidential client data thanks to the SEC's Reg S-P (IA Watch, Nov. 23, 2009), even as attention ...

The nation's toughest data security regulation goes into force in days, and it will have ramifications far beyond the borders of Massachusetts. "This is just ...

Americans are strongly averse to financial risk, less knowledgeable of financial matters than they think they are, and generally don't have "rainy day" funds set ...

You face options in how to respond to the SEC's new exam maneuver of reaching out to advisory firm clients to ask them about their ...

The recent case against Steve Salutric, former principal of Results One ($160M in AUM) in Elmhurst, Ill., affords an opportunity to see how one RIA ...

Copies of documents an RIA, Results One, and a custodian, Charles Schwab, sent to investors who were harmed by an alleged fraud by a principal ...

The final rule completes one of the long-awaited changes from the Gramm-Leach-Bliley Act – a model privacy form for firms to share with clients. You ...

The Dow opened the year at 8,776, slid to 6,600 in March, and the index looks as if it will close the year over 10,000. ...