Investment Advice Reform, Part Two: Client Relationship Summary

Written By Merchant

Part Two: Client Relationship Summary

As discussed in Part One of the Investment Advice Reform, the U.S Securities and Exchange Commission (“SEC”) recently adopted a package of rules and interpretations primarily designed to enhance the quality of principal-agent relationships (relationship where an agent [representative] is appointed to act on behalf of a principal [client]) and to assist with providing full transparency to investors. The package encompasses four components… Read More

Merchant
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Investment Advice Reform, Part One: Standard of Conduct