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 ...

Amrita M. Narine and Reshma Shah write: Until the courts adopt a single approach toward border searches of electronic devices, attorneys need to be even more careful when crossing the border with ...

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 ...

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 ...

A newly proposed AICPA ethics rule would clarify that certain reviews of a tax practice are included in the exceptions to the AICPA Professional Standards prohibition on disclosing confidential client ...

There is a symbiotic relationship between broker-dealer, advisor and client. They all rely on each other to manage a relationship that can be effective only if each party is honest and provides ...

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 ...

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 ...

With the growing use of digital technology in practice, mental health professionals (MHPs) need to navigate the complexities of client privacy and technology when considering whether and how to gather ...

The question is not whether advisors should improve their technology but how they can do it in a way that improves the client ...