Formulaire CRS Tag

The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have…

Peter Driscoll, Director of the SEC’s Division of Examinations, told attendees at the Investment Adviser Association meeting March 4, 2021…

Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…

On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS.  In an unusual step,…

The SEC’s Divisional Standards of Conduct Implementation Committee launched its review of Form CRS from a cross section of RIAs…

The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…

CHICAGO, March 24, 2020 — Envestnet, Inc. (NYSE: ENV) has entered into a strategic partnership with Compliance Solutions Strategies (CSS) to offer a comprehensive,…

While the SEC moved full force in adopting Regulation Best Interest and Form CRS, state regulators were fairly silent on…

Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…

On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…

The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…

No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning….