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Upcoming Events

SEC Disclosure Tool (Form CRS) Helps Attorneys With Their Due Diligence When Referring a Financial Adviser to a Client

Every attorney who is in the position of referring a client to a financial professional or firm needs to be aware of the firm's CRS, a new 2-4 page disclosure document that SEC-regulated firms must deliver to their clients. The CRS was adopted to help investors understand the different standards of care that apply to their financial professionals (investment advisers vs. broker dealers vs. dual registrants), as well as conflicts of interest imbedded in the firm's way of doing business. This program will help lawyers who are in the position of making referrals to better understand how to use the CRS in their due diligence process.


Are You a Discerning Investor?

Do you have a retirement "portfolio" organized to meet your specific needs? Or do you have a random collection of investments, accounts, and advisers that you've acquired over time? In this presentation, investment counsel to high-net-worth families and award-winning author, Julie Jason, will discuss her latest book "The Discerning Investor."

Learn about new SEC disclosures that make due diligence easier; how to recognize potential conflicts of interest; how to think of managing a retirement portfolio; how to assess your own skills in managing a retirement portfolio; and what to expect from different types of financial firms based on how they are regulated. Leave with action items and insights that you can use to plan, whether retirement is decades in the future or you’re living it today.