Requires registered person, when recommending a securities transaction or investment strategy, to act in the retail customer’s best interest and not place his or her own interests ahead of the retail customer’s interests.
This is satisfied through documentation of:
The Leaders Group has to satisfy
Form CRS Relationship Summary must be delivered to customers at the earliest of:
The form must be filed with the CRD no later than June 30, 2020. A broker-dealer must record the date the form is provided and those records must be kept for 6 years.