How to avoid common pitfalls in your trust accounting
Avoid exposing your law firm to potentially severe penalties. Take time today to review your trust accounting.

Law firms can face significant consequences for mismanagement of trust accounts. Review this criteria to check whether you have the proper controls in place at your firm.

Download this checklist for eight specific items to consider.

TIP SHEET
5 Elements of Reg BI and Form CRS compliance framework
Is your firm doing enough to comply with new regulatory requirements?

Many broker-dealers are still adjusting their compliance frameworks to meet the requirements of Regulation Best Interest and Form CRS regulations. Here are five of the key components of an ideal framework.


How to avoid common pitfalls in your trust accounting
Avoid exposing your law firm to potentially severe penalties. Take time today to review your trust accounting.

Law firms can face significant consequences for mismanagement of trust accounts. Review this criteria to check whether you have the proper controls in place at your firm.

Download this checklist for eight specific items to consider.

GET THE CHECKLIST

GET THE CHECKLIST

Key Contact

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Bao Nguyen, CAMS, CFE, CRCP

Principal, Broker-Dealer and Investment Adviser Practice Leader, Risk Advisory Services

Boca Raton