Regulation Best Interest Videocast Series: Special Challenges For Dual Registrants

Eversheds Sutherland (US) LLP
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[co-presenter: Pooja Kohli, Litigation Specialist]

Firms that are dually-registered are subject to special considerations under the SEC’s new Regulation Best Interest when offering both advisory and brokerage accounts.

In this Bottom Line videocast, Clifford Kirsch and Pooja Kohli discuss:

• the capacity disclosures a dual registrant must make

• what Form CRS should look like for dual registrants

• what dual registrants See more +

[co-presenter: Pooja Kohli, Litigation Specialist]

Firms that are dually-registered are subject to special considerations under the SEC’s new Regulation Best Interest when offering both advisory and brokerage accounts.

In this Bottom Line videocast, Clifford Kirsch and Pooja Kohli discuss:

• the capacity disclosures a dual registrant must make

• what Form CRS should look like for dual registrants

• what dual registrants must consider when making account type recommendations

Discover more of the latest legal news and topics discussed by our attorneys by subscribing to the Eversheds Sutherland Legal Insights Podcast Channel. See less -

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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