SEC Settles with 12 Firms for Incomplete CRS Obligations
SEC settlements with 12 firms—six investment advisers and six broker-dealers— relating to failure to file and deliver Form CRS relationship summaries to retail clients by required deadline and include all information necessary to satisfy Form CRS requirements.
Standards Of Conduct Implementation Committee Conduct Implementation Committee Statement Highlights Need Rs Obligations Conduct Implementation Committee Investment Advisers
Source: natlawreview.com