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New York Licensed Representatives Disclosure of Conflict of Interest To Client

Category:
New York Workers Compensation - Official
State:
New York
Control #:
NY-OC-408-WC
Format:
PDF
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Description

Licensed Representatives Disclosure of Conflict of Interest To Client New York Licensed Representatives Disclosure of Conflict of Interest To Client is a form used by New York state-licensed representatives (such as brokers, advisers, and investment professionals) to disclose any potential conflicts of interest to their clients. This disclosure must be provided to the client in writing before any services are provided, and must include a description of the conflicts of interest and any fees associated with the services in question. There are three types of New York Licensed Representatives Disclosure of Conflict of Interest To Client: (1) disclosure of ownership interest in a company, (2) disclosure of services performed for family members, and (3) disclosure of compensation received from a client. Each of these disclosures must be made in writing in order for the client to be fully informed and to make an informed decision.

New York Licensed Representatives Disclosure of Conflict of Interest To Client is a form used by New York state-licensed representatives (such as brokers, advisers, and investment professionals) to disclose any potential conflicts of interest to their clients. This disclosure must be provided to the client in writing before any services are provided, and must include a description of the conflicts of interest and any fees associated with the services in question. There are three types of New York Licensed Representatives Disclosure of Conflict of Interest To Client: (1) disclosure of ownership interest in a company, (2) disclosure of services performed for family members, and (3) disclosure of compensation received from a client. Each of these disclosures must be made in writing in order for the client to be fully informed and to make an informed decision.

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