Tag: Form 31-103F4

Can a Registrant Act as a Trustee, Executor, or Under a POA for a Client? When Are Such Activities Reportable as an OBA?

May 31, 2021 | Client-Focused Reforms (CFRs), Corporate Finance, FAQs, Regulatory Compliance

Answer: Registrants are often asked by their clients, as trusted advisors, to act as their trustee under family trusts, executors under their will or as powers of attorney. The potential issue with accepting any of these roles for a registrant is that they may present...

Tag: Form 31-103F4

Can a Registrant Act as a Trustee, Executor, or Under a POA for a Client? When Are Such Activities Reportable as an OBA?

https://aumlaw.com/wp-content/uploads/2020/03/00268628.pdf

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