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 ...

Camilo Artiga-Purcell flags up some of the cybersecurity, data protection and privilege risks associated with client-intake ...

As attorneys, our livelihood is often heavily dependent upon the keeping of secrets. But in this complex electronic-data driven environment we work in, where physical security via locked doors and ...

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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

A scan across the wealth management and financial services industry shows there is a growing movement of advisors looking to differentiate themselves by offering a more comprehensive, private wealth ...

TORONTO--(BUSINESS WIRE)--SoftwareReviews, a division of IT research and advisory firm Info-Tech Research Group, has published its 2021 Geographic Information Systems Emotional Footprint Awards, ...