A survey from the North American Securities Administrators Association (NASAA) asked state-registered small and mid-sized investment adviser firms how they use websites and technology, such as tablets ...

Increasingly, clients of CPA firms impose confidentiality agreements as a precondition to engaging the firm to perform professional services. These may appear in the form of a separate nondisclosure ...

Amrita M. Narine and Reshma Shah write: Until the courts adopt a single approach toward border searches of electronic devices, attorneys need to be even more careful when crossing the border with ...

A strong onboarding process helps financial advisors gather critical client information, set expectations, define services, and build trust from the start.

Customers rely on brokerages, advisors, accountants and even insurance agents to keep their information safe, secure and confidential. Well before the stay-at-home mandates of the pandemic, state ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

It seems to us that the Appellate Division lacks the authority to modify the scope of obligations of confidentiality under RPC 1.6. We call upon the Supreme Court to clarify. New Jersey's Rules of ...

There is a symbiotic relationship between broker-dealer, advisor and client. They all rely on each other to manage a relationship that can be effective only if each party is honest and provides ...

Businesses have mixed feelings about their financial data. They can't live with it, they can't live without it, and they don't always understand what all the data before them means. Despite this ...

KPMG Australia has been reported to the National Anti-Corruption Commission by Greens Senator Barbara Pocock, warning the ...