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Form CRS
This comes courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga.
Eliminate unnecessary words. Often, the word “that” can be scrubbed
The SRO will take the same approach outlined in the Commission's two risk alerts
Originally, the SEC slated Form CRS filings to begin in May
Examiners “may review records of the dates that each relationship summary was provided to retail investors to validate whether the firm has complied with the ...
These new FAQs were published by the SEC in April 2020
Examples of the areas the staff may focus on during examinations are discussed below
Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities
We believe that the June 30, 2020 compliance date for Reg BI and other requirements, including the requirement to file and begin delivering Form CRS, ...
This comes courtesy of The Plain Language Group in Charlotte, N.C.
Gain tips to help you polish off your new form
Teri McCasland, VP/CCO of SFE Investment Counsel in Los Angeles, shares her draft of her Form CRS
Private funds will be the subject of their own separate risk alert later this year, OCIE Director Pete Driscoll says. “That’s something we’ve been getting ...
You may not include disclosure in the relationship summary other than disclosure that is required
The relationship summary must include the required items enumerated below
“Just start drafting. Start typing. The longer you wait to start the drafting process, the more challenging it’s going to be”
As a service to the adviser industry, Schwab has granted RCW permission to share its guide with you
This hour-long webinar features tips to prepare the new SEC-mandated form
The SEC gives the nod of approval for an investment adviser and its affiliated IA to create one form
This latest batch tackles form format, delivery, affiliates sharing their form, disciplinary disclosures and more
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