Compliance Insights

Compliance Reviews

Books and records: Key definitions and considerations for investment advisors

Determining which books and records should be kept and how can be a daunting task.  This white paper explores the various recordkeeping requirements and offers best practices to consider for general operations and storage, including storage of electronic records.

Key insurance considerations for investment advisors

Perhaps the most critical form of insurance for investment advisors is professional liability insurance, also known as errors and omissions (E&O) insurance. It’s important to understand how these policies work, which risks are covered, and how to secure a policy with favorable language.  This will help place you in the best position to preserve your assets and minimize disruption to your business.

What has changed: New considerations for serving aging clients

As people live longer, healthier lives and more baby boomers approach retirement, the population of individuals 65 and older in the United States continues to increase dramatically. It’s therefore essential that firms be proactive in implementing a thoughtful, dynamic process for serving aging and vulnerable clients.

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