Like most professionals in the business of analysis and advice, financial advisors work with a great deal of data and files to provide services to their clients. From account statements, estate ...
Ronald C. Minkoff, a partner at Frankfurt Kurnit Klein & Selz, writes that few areas of professional responsibility law prompt as many inquiries from lawyers and clients as the seemingly simple act of ...
When a client representation ends, the client may ask for a copy of "the file" maintained by the firm. What is kept as part of the file may depend on the firm's policies and procedures. Typically, the ...
CCH s ProSystem fx Portal provides bidirectional file exchange capabilities for documents such as tax returns and financial statements. The service supports PDF files, Microsoft Excel spreadsheets, ...
IMGCAP(1)] Many small accounting firms are looking for a more efficient way to share files with clients. However, most have concerns regarding security, privacy and compliance — and for good reason.
Financial planning licensees may have to curtail the practice of allowing authorised representatives to take both clients and client files with them when they move to new licensees. At the very least, ...
Client file reviews are an important part of a firm’s advice process and are under greater regulatory scrutiny. Therefore, who is verifying how these are processed and checked? Client file reviews ...
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