*PLEASE NOTE THIS SEMINAR IS BEING PRESENTED LIVE VIA ZOOM, YOU WILL BE SENT A LINK TO THE SEMINAR THE DAY BEFORE

TUESDAY, FEBRUARY 28, 2023
12:00 PM TO 1:00 PM

FCBA LIVE ZOOM SEMINAR: SEC DISCLOSURE TOOL (FORM CRS) HELPS ATTORNEYS WITH THEIR DUE DILIGENCE WHEN REFERRING A FINANCIAL ADVISER TO A CLIENT

PRESENTED BY
JULIE JASON, JD, LLM

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-to-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.

TOPICS WILL INCLUDE

• Why it’s important to understand what led to the adoption of the CRS. (Investor surveys, regulatory initiatives, focus groups)
• What is the CRS? (How the CRS is organized; when to go beyond the CRS and how to do that.)
• What to make of CRS conflicts disclosures.
• What to make of CRS disclosures of regulatory and disciplinary matters.
• Other disclosure considerations, such as referral fees.

Julie Jason, JD, LLM practiced law for ten years before moving into money management positions on Wall Street, later founding Jackson, Grant Investment Advisers, Inc. of Stamford, CT.  Her team at Jackson, Grant manages personal portfolios for high-net-worth and ultra-high-net worth families. Jackson, Grant is an independent SEC-registered investment advisory boutique serving clients as their investment counsel. www.jacksongrant.us.  

A proponent of financial literacy education for individuals of all financial means, Jason writes and lectures to share practical insights from both broker-dealer and investment adviser perspectives.   

She is the author of The Discerning Investor: Personal Portfolio Management in Retirement for Lawyers (and Their Clients), published in 2022 by, and available only through, the American Bar Association. Her previous books and columns were recognized for excellence in financial literacy education (EIFLE Award and CLARION Award, among others).

She encourages questions and comments. Phone (203-322-1198) | Email julie@jacksongrant.us.  

*REDUCED RATE FCBA MEMBERS: $25 *(LEGAL ADMINISTRATORS, PARALEGALS, LAW STUDENTS & LAW CLERKS)
FAIRFIELD COUNTY BAR ASSOCIATION IS AN ACCREDITED PROVIDER FOR NY & CT CLE
1 CT/NY CLE CREDIT IN AREA OF PRACTICE FOR ATTENDANCE
INFORMATION ON FINANCIAL ASSISTANCE IS AVAILABLE UPON REQUEST