Books & Records

Office 365 For Advisor Compliance

http://advisors4advisors.com/images/stories/article-images/o365-compliance-slides4posting.png
by agluck     May 18, 2015      0.0 (0) When you open a document in Office 365 that was edited by another user, or by you on another device, all of the changes are highlighted in green.   This is not Microsoft Word’s “Track Changes” feature that many veteran Office users know how to use. It's a new thing and and example of what it looks like is in the screen-cap b

RIA Fires Google Apps After Google Notifies Advisor Of A 15-Month Failure In Gmail's Archiving System; Gmail Archiver Accidentally Deleted Messages It Was Supposed To Retain

http://iimagelibrary1.advisorproducts.com/images/igallery/original/3001-3100/vault_security__1041_-3068.jpg
by agluck     December 12, 2013      0.0 (0) An Investment Advisor rep with a background as a programmer recently replaced Google Apps' email archiving system after being notified that Gmail's archiver accidentally deleted messages that should have been retained for the 15-month period from March 28, 2012 to June 18, 2013.    Google notified the advisor on September 5 of the f

Read more ...

Registered Reps With Their Own Independent RIA Must Keep Their Own Email And Social Media Archives In Addition To Their Broker-Dealer's Records

http://iimagelibrary1.advisorproducts.com/images/igallery/original/401-500/financial_docs_books__1005_-420.jpg
by agluck     June 06, 2012      0.0 (0) Dually-registered investment advisor representatives with their own RIA must keep their own social media and email archives. Even if your broker-dealer is keeping social and email archives for you, you must keep your own archives of these communications if you own an RIA independent of your BD.

Read more ...

Ernst & Young Survey Discloses Willingness Of CFOs To Take Bribes

http://iimagelibrary1.advisorproducts.com/images/igallery/original/401-500/financial_docs_books__1053_-468.jpg
by lisagray     May 23, 2012      0.0 (0) Surprising and disappointing results came from Ernst & Young’s annual and recently conducted global fraud survey. It found that 15% of chief financial officers (CFOs) across the globe would pay bribes to keep business from going out the door. This is up from 9% the year before. Five percent also said they would be willing to misstate f

Read more ...

Disputes Over Axys Performance Numbers No Excuse For Fudging Client Reports, SEC Says

http://iimagelibrary1.advisorproducts.com/images/igallery/original/3001-3100/vault_security__1006_-3033.jpg
by ScottMartin     January 09, 2012      0.0 (0) A Connecticut advisor has been barred from the industry and fined $60,000 for what the SEC says amounts to doctoring his clients' performance reports.

Read more ...