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 ...

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 ...

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 ...

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 ...

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 ...

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 ...

Is your client dodging your emails and calls? It might be time to move forward. Here's how to handle the situation.

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 ...

Charles Schwab is taking one of its former reps to court, accusing him of being a “disloyal employee” who allegedly departed wielding trade secrets on thousands of Schwab clients. Schwab filed a ...

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 ...