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").
Source: mondaq.com
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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...
Investment Authority Investment Offerings Division Of Examinations Standards Of Conduct Implementation Committee Division Of Trading Office Of Investor Education
Source: jdsupra.com
SEC Staff Statement Regarding Form CRS Disclosures - Standards Of Conduct Implementation Committee
<p><span>Form CRS is a brief relationship summary designed to help retail investors make informed choices regarding what type of relationship&mdash;brokerage, investment advisory, or a combination of both&mdash;best suits a retail investor&rsquo;s particular circumstances and investment objectives. SEC-registered broker-dealers and investment advisers (each, a &ldquo;firm&rdquo;) offering services to retail investors must file with the Commission and provide to re...
Investment Authority Investment Offerings Division Of Examinations Many Of The Committee Standards Of Conduct Implementation Committee The Relationship Summary On Firm Website
Source: mondovisione.com