More On Legal & Compliancefrom The Advisor's Professional Library
- Preventing and Dealing with Client Complaints Although the SEC has not provided specific guidance on how client complaints should be handled, a firms policies and procedures should provide clear direction how to do so, as neglecting complaints can exacerbate a bad situation.
- Where Are We Headed? The ultimate compliance goal is to help ensure that everyone associated with an advisory firm acts ethically at all times. Advisors and RIAs should do the right thing, even when regulators are not looking over their shoulders.
Three experts in the field of technology and compliance will deliver half-day workshops in three cities in November, addressing how advisors can integrate their enterprise content management (ECM) software with their customer relationship management (CRM) software.
Hosted by Laserfiche and Junxure, the road show will hit San Francisco, Chicago and New York and will feature Tom Giachetti (left) of Stark & Stark (who writes the monthly Compliance Coach column for Investment Advisor), Tim Welsh of Nexus Consulting, and Greg Friedman of Private Ocean and Junxure.
Giachetti will speak about the latest compliance issues being faced by advisors in light of Dodd-Frank, while Welsh and Friedman will demonstrate the operations and compliance benefits of integrating Junxure’s CRM program with Laserfiche’s ECM software.
In late August, Junxure announced the rollout of a business consulting program to run in conjunction with its CRM program that focuses on training and implementation, while Laserfiche has recently expanded its overseas operations and announced a settlement of a lawsuit with SAP America which resolved Laserfiche’s use of the Run Smarter trademark.
In his most recent Compliance Coach column, Tom Giachetti writes about the implications of the SEC’s new definition of “family office.