Client Communications

There are many services designed to help you stay in touch with your colleagues should COVID-19 keep you separated for a long time

The final rule is designed to help investors make informed investment decisions regarding variable annuity and variable life insurance contracts

This form comes courtesy of Kim Collins of Compliance Resource Partners in Highlands Ranch, Colo.

A transition plan can run as short as 2-3 pages

A 'hire me' conversation "on the golf course, at social gatherings or while running errands" could force delivery of your Form CRS

Stephanie Elliott, CCO at Chapin Davis in Baltimore shares some questions the firm has reps pursue when considering moving an brokerage client to the IA ...

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

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 ...