To view this content, you need to sign in.
You should only be asked to sign in once. Not the case? Click here
Register now to access this content and more for free.
Small adviser fined for ignoring Form CRS mandate
EXAMS contacted LCM’s Chief Compliance Officer by email on October 14, 2020 to alert her that the firm had failed to file Form CRS. LCM, however, still did not file its Form CRS. On May 10, 2021, EXAMS again contacted LCM but this time to announce an examination relating to the firm’s failure to file Form CRS
