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News July 16, 2018 Issue

Third-Party Agreements: Ensure Clients Don’t Get Burned by Conflicts of Interest

Advisers may see agreements with other advisory firms as a way to enhance revenue. While such third-party agreements may on their face bring in additional dollars, advisers should also take precautions that they donít create conflicts of interest with clients. When that happens, the agreements may bring in more than additional revenue Ė they may bring in SEC examiners and investigators.

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