March 24, 2021 09:00 - 10:00
With the observed increase in advisors changing firms during the pandemic, it’s important that investment dealers stay up to date on the employment and regulatory issues that can arise as a result.
Join our panel as they address things like the duties owed to clients, solicitation by departing advisors, and the pitfalls to watch for in competitive recruiting, all while sharing some practical steps to take when a departure is expected or disclosed.
9:00 a.m. – 10:00 a.m. EDT presentation
8:45 a.m. EDT webinar opens
Ontario: This program is eligible for up to 1.0 Substantive Hour.