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 ...

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 ...

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 ...

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 ...

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 ...

Confidentiality is a key consideration in any commercial endeavour. To retain a competitive edge in the market, a business will often do its utmost to maintain the confidentiality of client ...

The traditional model of legal practice often left clients in the dark-waiting for phone call updates, unsure of next steps, ...

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 ...

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 ...