Steve & Hannah at the CIR Home Office

Earlier this week, we made a trip out to Fairfield, IA. Our team met with senior leadership, and executive members to ensure we are staying up-to-date on industry news, regulatory changes, and technology updates.

Are you going to IGNITE?

This year Cambridge’s national conference will be held at the beautiful Gaylord Palms Resort in Orlando, Florida. For more information and to get registered, click here. We are planning a special offsite dinner Thursday night for PJ Advisor Group members-only. Click the button to below to let us know if you are coming.

September 20-22, 2023
Orlando, Florida

Compliance News

Compliments to the Privacy Act of 1974, we are all responsible to protect private client information.  If your method of communication with a client is texting, please be sure there is no non-public client information being shared.  This would include items such as…

• DOB
• Social Security Numbers
• Tax identification Numbers
• Email Address
• Account Numbers
• Account Holdings
• Account Balances

There currently is not a way to secure this information so it’s very important private client information is not communicated via text.  If you need private information from your client and can’t reach them by phone, you can email the client with the word “sensitive” in the Subject line and when they reply, the email will be secure.

As a reminder, when texting be sure you are using one of the approved vendors. (Hearsay, MyRepChat or Ring Central)

Compliance Reminders

When was the last time you reviewed your business website?  If you have a business website, you are required to keep it current to insure you are disclosing the most accurate information to the public.  This means links to SIPC, FINRA and Broker Check work properly, the states that you are licensed in are accurate and any changes to contact information, services and staff are current. Don’t delay and make it a point to review your website at least semi-annually.

Notice: Melissa Tapken’s email address has been changed to Melissa@PJAdvisorGroup.comFor those of you experiencing issues when emailing her, those issues should now be resolved.

Upcoming Events

2023 Connect – July 12-14 | Omni Dallas Hotel | Dallas, TX – Register 

2023 Ignite – September 20-23 | Gaylord Palms Resort | Orlando, FL – Register

2024 PJ Annual Conference – April 21-23 | Tempe Mission Palms | Tempe, AZ  – RSVP HERE

Cambridge Virtual Events – For information on Cambridge’s virtual webinars, please visit this link.

Helpful Resources

• PJ Disclosure CHECKLIST – HEREUpdated 2/13/23
• PJ Disclosure CHART and Resources – HERE Updated 2/13/23
• DOL Requirements FAQs – DOL FAQ’s
• Terminating a Client – Guide and Sample Letter
• Vulnerable Client Documentation Process – Click here
• Diminished Capacity Documentation Process – Click here
• Vulnerable Client Intake Form – Click here