Client Communications

The model form from the federal government that meets the safe harbor for the annual privacy form for clients under the Gramm-Leach-Bliley Act. This was ...

Online meeting spots like Facebook, LinkedIn and twitter tantalizingly offer the chance to reach younger potential clients at a cheaper cost but worries of running ...

Registered investment advisers who serve as pension consultants and "adequately disclosed their conflicts of interest" oversaw higher returns than their counterparts that "failed to disclose ...

If your firm employs multiple clearing companies you may find one of them would gladly dish out attractive incentives for you to make it the ...

Look it as a Christmas gift from the SEC. Two days before the recent holiday, an East Coast adviser discovered an e-mail from the agency's ...

NFA has become aware of a practice utilized in the settlement of customer complaints and arbitration proceedings whereby, as a condition of settlement, a customer ...

This no-action letter from the SEC in 2007 concerns so-called hedge clauses in client indemnification agreements. The SEC withdrew this letter in 2019.