July 27, 2021
The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have…
Form CRS Tag
March 25, 2021
Peter Driscoll, Director of the SEC’s Division of Examinations, told attendees at the Investment Adviser Association meeting March 4, 2021…
November 18, 2020
Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…
October 12, 2020
On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS. In an unusual step,…
July 30, 2020
The SEC’s Divisional Standards of Conduct Implementation Committee launched its review of Form CRS from a cross section of RIAs…
April 7, 2020
The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…
March 24, 2020
CHICAGO, March 24, 2020 — Envestnet, Inc. (NYSE: ENV) has entered into a strategic partnership with Compliance Solutions Strategies (CSS) to offer a comprehensive,…
February 27, 2020
While the SEC moved full force in adopting Regulation Best Interest and Form CRS, state regulators were fairly silent on…
February 12, 2020
Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…
January 31, 2020
On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…
January 25, 2020
The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…
January 23, 2020
No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning….
- 1
- 2