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Attorneys interested in learning about their obligations and responsibilities regarding Form CRS (Customer Relationship Summary).
Form CRS: Financial Advisor Referral & Due Diligence-EDU230920
Cost:
Member $35.00
Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing business. This program, presented by Julie Jason, JD, LLM, of Jackson, Grant Investment Advisers, Inc., will help lawyers who are in the position of making referrals to better understand how to use the CRS in their due diligence process.
Member $35.00
Student Member $15.00
Non-Member $70.00
Seminar Date: Wednesday, September 20, 2023
Product ID: EDU230920
CLE Credit:
CT: 1.0 CLE Credit (General)
About the Program
Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2- to 4-page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker-dealers vs. dual registrants), as well as conflicts of interest embedded in the firm's way of doing business. This program, presented by Julie Jason, JD, LLM, of Jackson, Grant Investment Advisers, Inc., will help lawyers who are in the position of making referrals to better understand how to use the CRS in their due diligence process.
Credit
General:1.0
Description
Presented by the CT Bar Institute
You Will Learn
- About what led to the adoption of the CRS, including investor surveys, regulatory initiatives, and focus groups
- About the CRS, how the CRS is organized, and when to go beyond the CRS
- How to identify conflicts of interest
- How to evaluate regulatory and disciplinary disclosures
- How to utilize the CRS in your due diligence before recommending a financial professional to clients
Who Should Purchase
Attorneys interested in learning about their obligations and responsibilities regarding Form CRS (Customer Relationship Summary).
Speaker
Julie Jason
Jackson Grant Investment Advisers Inc.,
Stamford, CT
Courses in package:
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