An investment adviser posts a seemingly innocuous comment to his firm’s social networking profile page, congratulating his colleagues on a successful year selecting investments. Another adviser, upon realizing that one of her long-time clients has recently moved and did not receive the firm’s new Form ADV brochure, quickly sends an e-mail to the client and attaches the requested documents.
Fill in & submit the form below to download this Whitepaper
Your download will appear below momentarily.
Subscribe to CSS Blog
CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.