Monthly Archives: November 2015

Identity Theft Info to Share with Clients

Posted on November 10, 2015 by cindihill

Below is a link to an article on suggestions you could use for your clients.  It gives tips to help protect an identity during the holiday season. http://www.calif.aaa.com/home/financial/financial-services/identity-theft-monitoring/online-holiday-shopping-identity-theft-tips.html?zip=92626&area=email_ENewsletter110215&cid=356331020061202

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SEC Will Prosecute CCOs that Cross a “Clear Line”

Posted on November 6, 2015 by cindihill

Repost from Cipperman Compliance Services, LLC At a recent compliance conference, the SEC’s Director of the Division of Enforcement Andrew Ceresney said that the SEC will bring actions against Chief Compliance Officers who cross a “clear line.”  Mr. Ceresney said, “Being … Continue reading →

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Diminished Capacity – spotting the signs

Posted on November 5, 2015 by cindihill

As the client population begins to age, it is important to be prepared for the probability that some of them will begin to show sign and have diminished capacity.  Signs of trouble include issues with paperwork, difficulty following directions or … Continue reading →

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