Form CRS: Financial Advisor Referral & Due Diligence (EDU230920)

Wednesday, September 20, 2023

1:00 PM to 2:00 PM (Eastern Daylight Time)

Webinar - CLE Pass Eligible

Presented by the CT Bar Institute

About the Program

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 embedded in the firm's way of doing business. This program, presented by Julie Jason, JD, LLM, of Jackson, Grant Investment Advisers, Inc., will help lawyers who are in the position of making referrals to better understand how to use the CRS in their due diligence process.

You Will Learn

• About what led to the adoption of the CRS, including investor surveys, regulatory initiatives, and focus groups 
• About the CRS, how the CRS is organized, and when to go beyond the CRS 
• How to identify conflicts of interest 
• How to evaluate regulatory and disciplinary disclosures 
• How to utilize the CRS in your due diligence before recommending a financial professional to clients

Who Should Attend

Attorneys interested in learning about their obligations and responsibilities regarding Form CRS (Customer Relationship Summary).


(Includes electronic materials)
Member $35
CLE Pass Holder $0 (you must have purchased the CLE Pass to register as a CLE Pass holder)
Student Member $15
Non-Member $70


Julie Jason1 Julie Jason
Jackson Grant Investment Advisers Inc., Stamford

CLE Credit

CT: 1.0 CLE Credit (General)

If the seminar is recorded, all member registrants will receive complimentary access to the recording approximately six weeks after the program. Please note that refunds will not be granted once course materials have been sent. Cancellations made less than 2 business days prior to event are non-refundable.

Closed captioning will be available during the seminar presentation for virtual attendees. 


Member Service Center
Phone: (844)869-2221