Do you refer clients to financial advisers? Lawyers need to understand the regulatory framework that distinguishes financial advisers, particularly in light of new (2020) disclosure documents (Form CRS).

In this program, we will cover how financial advisers are regulated; how standards of care differ; how to recognize potential conflicts of interest that can affect the adviser-client relationship; and most importantly, how new SEC disclosure tools make your due diligence process easier before referring a client to a financial services provider.