More On Legal & Compliancefrom The Advisor's Professional Library
- Whistleblowers A whistleblower is any individual providing the SEC with original information related to a possible violation of federal securities law. The Dodd-Frank Act established a whistleblower program that enables the SEC to reward individuals who voluntarily provide such information.
- Client Communication and Miscommunication RIA policies and procedures must specify what type of communications should be retained. The safest course of action is for RIAs to retain all communicationsto clients, from clients, and about client accounts. To comply with fiduciary obligations, communications must be thorough and not mislead.
Three experts in the field of technology and compliance will deliver half-day workshops in three cities in November, addressing how advisors can integrate their enterprise content management (ECM) software with their customer relationship management (CRM) software.
Hosted by Laserfiche and Junxure, the road show will hit San Francisco, Chicago and New York and will feature Tom Giachetti (left) of Stark & Stark (who writes the monthly Compliance Coach column for Investment Advisor), Tim Welsh of Nexus Consulting, and Greg Friedman of Private Ocean and Junxure.
Giachetti will speak about the latest compliance issues being faced by advisors in light of Dodd-Frank, while Welsh and Friedman will demonstrate the operations and compliance benefits of integrating Junxure’s CRM program with Laserfiche’s ECM software.
In late August, Junxure announced the rollout of a business consulting program to run in conjunction with its CRM program that focuses on training and implementation, while Laserfiche has recently expanded its overseas operations and announced a settlement of a lawsuit with SAP America which resolved Laserfiche’s use of the Run Smarter trademark.
In his most recent Compliance Coach column, Tom Giachetti writes about the implications of the SEC’s new definition of “family office.