Monthly Archives: November 2015

Identity Theft Info to Share with Clients

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 Advertisements

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SEC Will Prosecute CCOs that Cross a “Clear Line”

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

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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