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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.
Every year, investment advisors registered with the SEC face the thankless task of reviewing their policies and procedures to determine their adequacy and effectiveness as required by...
On January 26, 2022, the SEC issued a release proposing amendments to Form PF (the "Proposal").
The SEC’s Standards of Conduct Implementation Committee issued a statement following a review of Form CRS relationship summaries filed with the SEC by a cross-section of broker-dealers and investment advisers and the firms’ compliance with Form CRS requirements.
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...