Communicating with clients in a compliant manner (Session B: In-Person)

The seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.

Who should Attend:

• Chief compliance officers and ultimate designated persons.
• Compliance staff or individuals who review marketing materials or other client communication documents.

Benefits:

Gain insight into expectations on client communications.

Documents:

Slides: Communicating with Clients in a Compliant Manner