Client Communications

The shareholder report would start with a fund name, ticker symbol, the words “Annual Shareholder Report,” and a legend

A peer has shared a copy of the firm's proxy voting guidelines

An example of the SEC's proposed 'tailored' shareholder report for mutual funds

The proposal would move “fund disclosures to the 21st century” by urging funds to use interactive and “user-friendly design features” to help investors “customize” information ...

Today’s proposal would establish a new disclosure framework for mutual funds and ETFs that modernizes the shareholder reports provided to existing investors and the prospectuses ...

But to many investors, the SRI concept looks at more than just returns. They instruct their advisers to avoid tobacco stocks, industries that contribute to ...

Specify what you will and won’t do regarding these class actions in your advisory agreement and Form ADV disclosures

The coronavirus crisis caught almost everyone off guard. But now, two months into lockdown, and no date certain on when we’ll get back to “normal,” ...

A peer shares the form the firm uses to document with the client investment objectives

Hackers could do more damage than that should confidential information be shared between an adviser and its client via Zoom