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Additional steps an adviser must take to secure client information
Client information and client asset integrity have become topics in regulatory exams, writes Tom Giachetti, chair of the Securities Practice Group at Stark & Stark. Exam questions are presenting scenarios in which an adviser shares 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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