Series 50: Disclosure Of Conflicts Of Interest

Disclosure of Conflicts of Interest

The municipal advisor must disclose all conflicts of interest in writing to the municipal client. Examples of potential conflicts include:

• • The municipal advisor has an affiliate that is currently advising the client in regard to the same issue.
• • The municipal advisor paid, whether directly or indirectly, to be engaged as the client’s municipal advisor.
• • The municipal advisor was paid by a third party to recommend the third party to the municipal client.
• • The municipal advisor is involved in a fee-splitting arrangement with an entity that provides investmen