Conflicts of Interest in the Financial Services Industry: What Every Attorney Needs to Know

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Maryland CLE
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CLE is voluntary for Maryland attorneys. To view our full accreditation details please .

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All Courses Available iOS/Android Web

About This Course

Referring clients to financial advisers carries some degree of risk. Attorneys need to be knowledgeable about the regulatory framework that distinguishes financial advisers, particularly given the 2020 disclosure documents (Form CRS).

This CLE course will explain the regulation of financial advisers and how standards of care differ. The course will offer strategies for recognizing potential conflicts of interest that may impact the adviser-client relationship as well as how new SEC disclosure tools simplify the due diligence process required before referring a client to a financial services provider.

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