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 ...

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 ...

The update allows firms that serve larger numbers of taxpayers to manage centralized authorization file access, view client ...

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 ...

Attorney-client privilege. Most people have heard of it, and most have a general idea it means. But what, exactly, is attorney-client privilege? What's its purpose? What does it cover? When does it ...

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 ...

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 ...

J.J. Keller & Associates recently introduced its Client Information Center, a Web-based tool designed to provide a link between fleet operators and J.J. Keller’s Vehicle Outsource Services area by ...