Client Communications

A pair of Alaska investment adviser managing principals didn’t properly disclose payments their firm received from a private real estate fund that they were urging ...

Don’t just take the word of any applicant about the person’s disciplinary history. Investigate whether the person’s being honest about past troubles. This is one ...

Facebook entrepreneur Mark Zuckerberg wasn’t even in high school when the SEC issued its 1996 guidance on e-delivery. It’s encouraging that the Commission’s new Form ...

With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients may ...

Retail investors likely would never think to ask to read an adviser’s deficiency letter from the firm’s most recent OCIE exam. But institutional investors aren’t ...

Richard Chen of Richard L. Chen PLLC in New York shares this checklist to help advisers when bringing on new clients.

Wi-Fi can be so convenient – yet so risky.   OCIE’s new risk alert on Reg S-P warns of the use of “unsecure networks,” noting ...

After the initial privacy notice, another one is unnecessary unless these changes occur

The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for work ...

Re: The Money Management Institute   Incoming letter dated April 2, 2019   Based on the facts and representations in your letter, and without necessarily agreeing ...