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 ...

Being mindful of the rules and limitations when responding to a request for a “client file” can help ensure that lawyers comply with their ethical responsibilities. After a matter resolves, attorneys ...

Explain the difference between a client file and a client suitability report Describe what makes a good client file Identify areas to improve file quality Explain the difference between a client file ...

I'm stumped. Normally to restore client files from our windows backup server one goes to the Dashboard on a domain PC, selects Devices -> [Select Client PC] -> Restore files or folders for the ...

Recently, while catching up on my “pleasure” reading — the November issue of The Alabama Lawyer — during a lunch break, I came across an article from the Office of General Counsel regarding the ...

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 ...