juillet 27, 2021
SEC Cracks Down on Form CRS
The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have all now been fined for failing to file and deliver Form CRS last year. Fines ranged from $10,000 to $97,523, and all come with new required disciplinary disclosures for each of the firms. The firms now all need a “Yes” answer to the disciplinary question. Read the latest.