Understanding Client-Focused Reforms: A Review of Advisors' Obligations
By CE Corner
Daniel Kratochvil, chief compliance officer with Agora Dealer Services Corp., explains the client-focused reforms.
In this video, Kratochvil expands on the conflicts-related reforms as well as those related to KYC, KYP, suitability and relationship disclosures. Using an advisor-centric viewpoint, he provides practical examples to consider for your practice.
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