Series 65: Acting As Agent To Both Parties (Agency Cross Transactions)

Acting as Agent to Both Parties (Agency Cross Transactions)

Underlying the very concept of being an “investment adviser” for a client is the idea that you are working in his best interest. Naturally, it creates a conflict of interest when you are representing both sides of a transaction (the buyer and the seller), since to work in one person’s best interest is to potentially do harm to the other.

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