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SEC Settles with 12 Firms for Incomplete CRS Obligations

SEC settlements with 12 firms six investment advisers and six broker-dealers relating to failure to file and deliver Form CRS relationship summaries to retail clients by required deadline and include all information necessary to satisfy Form CRS requirements. ....

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Top Tips for Updating Your Compliance Program in 2022 | Foreside

Every year, investment advisors registered with the SEC face the thankless task of reviewing their policies and procedures to determine their adequacy and effectiveness as required by. ....

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Ropes & Gray's Investment Management Update December 2021 – January 2022 - Finance and Banking

On January 26, 2022, the SEC issued a release proposing amendments to Form PF (the "Proposal"). ....

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Form CRS Disclosure Improvements Requested

The SEC’s Standards of Conduct Implementation Committee issued a statement following a review of Form CRS relationship summaries filed with the SEC by a cross-section of broker-dealers and investment advisers and the firms’ compliance with Form CRS requirements. ....

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Firms Need to Shape Up their Relationship Summaries in the New Year | Foreside

On December 17, 2021, the SEC’s Standards of Conduct Implementation Committee (“Committee”) published a statement that provides guidance to firms on how they can improve their Form CRS. ....

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