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 ...

Confidentiality is a key consideration in any commercial endeavour. To retain a competitive edge in the market, a business will often do its utmost to maintain the confidentiality of client ...

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 ...

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 ...

Attorney-client privilege. Most people have heard of it, and most have a general idea it means. But what, exactly, is attorney-client privilege? What's its purpose? What does it cover? When does it ...

In today’s rapidly evolving financial services landscape, traditional client portals—once simple document repositories—are no longer sufficient. Modern portals are dynamic platforms that enhance ...

Ameriprise Financial has filed a lawsuit against LPL Financial, accusing the broker/dealer of misusing private, confidential client information during advisor recruitment “in connection with its ...

With the onset of our new hybrid reality, the concept of the way we work has changed dramatically. Recent research from Deloitte found that the digitalization of the wealth management industry has ...

For many years, the “Information Systems Design, Implementation, or Integration” interpretation (ET §1.295.145) in the AICPA Code of Professional Conduct provided guidance for information system ...