Advisers must take additional steps to secure client information

01/5/2013 | AdvisorOne

Client information and client asset integrity have become subjects of regulatory exam questions, writes Tom Giachetti, chair of the Securities Practice Group at Stark & Stark. Exam questions present scenarios in which financial professionals share offices with unrelated individuals or entities, and situations in which vendors may have access to client information. Confidentiality agreements are key in these circumstances, Giachetti writes, including with outside parties such as landlords.

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