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USA Asset Management
You are a financial services professional who owns a dually registered firm with investment advisory and broker-dealer divisions. One of your financial planning professional employees, in her capacity as a registered representative, referred clients to the investment advisory division of your firm. The financial planning employee did not disclose to clients that: 1) the divisions were related and that the clients could use investment advisory services from other firms; and 2) the financial planning professional had a conflict of interest in referring clients to the investment advisory division because she stood to obtain additional compensation through the firm's receipt of investment advisory fees. Is this a conflict of interest? And, if so, what, when and how should she have disclosed it and then documented the disclosure?
This should be 2 pages in length.
Please see the assignment attached. Reply back if you are confident of doing it correctly. Do not start unless confirmed. Late submission or incorrect submission may be penalize. 2 page assignment. "Remember also, this is on the New DOL rule that just came out on the"
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