A Retrospective on Form CRS & Reg BI and Regulator Insights

A Retrospective on Form CRS & Reg BI and Regulator Insights

In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form CRS and Reg BI now that the June deadline has passed. They also discuss compliance best practices that are emerging in this COVID environment from changes in training, process and operations, to working with regulators and how firms have fared with regulatory examinations.

About Our Guest Speakers:

Keith Marks is involved in the management and distribution of CSS products and services. He works across CSS to find regulatory data and reporting solutions that investment managers need. Keith manages a team of Directors, Consultants and Compliance Managers in CSS’s Compliance Services team who provide consulting, annual compliance program reviews, risk assessments, on-site mock examinations, registration services, and cybersecurity services to institutional wealth managers, private fund managers, retail wealth advisers and registered investment companies. Keith is an author, product contributor, and thought leader, and his product contributions have included the design of the Form ADV Part 2 Template, CSS’s Compliance Management solution and the market’s first Form CRS Automator tool. Prior to CSS, Keith was an instructor for the Center for Compliance Professionals and Director of Investment Adviser Services at National Regulatory Services (NRS). Keith practiced law previously as an Associate with Day, Berry & Howard LLP (now Day Pitney LLP), a Hartford, Connecticut law firm. Keith served as President of the New England Broker Dealer Investment Adviser Association (NEBDIAA), a non-profit organization from 2012-17.

Jackie Hallihan has over 25 years of regulatory and risk management experience, and helped build the strategic product vision for CSS’s Form CRS Automator solution. She was the founder of National Regulatory Services (NRS) which started the compliance resource business and served as its President for over 20 years. She also founded the National Society of Compliance Professionals (NSCP), a non-profit organization for compliance officers, staff and lawyers serving the compliance industry. It now boasts over 2000 memberships. Jackie has been a leading speaker to compliance professionals, including in-house training programs and various other industry association conferences, and has received numerous industry awards. Jackie also serves as Director, Clerk of the New England Broker Dealer Investment Adviser Association (NEBDIAA), a non-profit organization, incorporated in 1997.


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