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 ...

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 ...

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 ...

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 ...

What Goes Into Meaningful Client Conversations Take Client Engagement From Static to Stunning With Direct Advisory Suite How This Tool Will Strengthen Advisor-Client Relationships What Goes Into ...

Onboarding new clients is a notoriously onerous and time-consuming process for financial advisors, but it’s necessary for a successful relationship. Here’s how to make sure you’re gathering the right ...

Two recent ethics opinions, one from the ABA Standing Committee on Ethics and Professional Responsibility (the “ABA Opinion”) and one from the New York State Bar Association Committee on Professional ...