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within Employment and HR and Law Department Performance topic(s)
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BALTIMORE—In the brokerage industry, the Broker Protocol
is a voluntary agreement outlining when and how departing advisors
may ask clients to transfer their business. The Broker Protocol is
intended to limit costly battles between brokerage firms over top
clients.
However, industry giants Morgan Stanley and UBS recently
withdrew from the Broker Protocols, leading many to speculate that
the voluntary standards may be abandoned entirely. Womble Bond
Dickinson's Victoria Bruno explores the latest
developments—and the future of the Broker Protocol—in a
new article titled "The Broker Protocol: End of an
Era?"
Bruno's article recently was published by the Association of
Corporate Counsel Baltimore Chapter in the FOCUS newsletter.
Click here to read
"The Broker Protocol: End of an Era?" by Victoria
Bruno.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
