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 ...

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 ...

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, ...

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 ...

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 ...

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 ...

As TPB enforcement of AI guidelines tightens, one question is keeping Australian accounting firms up at night: do your client permissions cover how you're actually using AI?

We are a customer-focused industry; an industry that has proven time and time again that we evolve to meet our customers’ changing expectations. Take, for example, the growing demand among our ...