This session will review the obligations for Investments Advisers under Regulation Best Interest, the Commission Interpretation Regarding Standard of Conduct for Investment Advisers and Form CRS.
- Determine what is involved in the duty of Care
- Understand the duty of Loyalty
- Learn what the Form CRS must contain in part 3 of Form ADV
- Receive clarification on policies, procedures and process updates needed
- Date:April 20, 2020
- Time:2:45 pm
2020 Spring Conference – April 20