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 ...

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 is well-established that attorneys and their clients are entitled to private and protected communications. But what level of protections are available when an accountant is used in an engagement to ...

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 ...

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 ...

With cybercrime increasing at a high rate in recent years, advisors can't afford to overlook its impact on themselves and their clients. Cybercrime has increased by over 600% since the start of the ...

With mobile devices at almost every fingertip, clients today demand readily available interactions with brands that are seamless and secure. As organizations rally to build client-centric capabilities ...

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 ...

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 ...