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
Fee Program Offerings News Today : Breaking News, Live Updates & Top Stories | Vimarsana
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Top News In Fee Program Offerings Today - Breaking & Trending Today
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...
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—brokerage, investment advisory, or a combination of both—best suits a retail investor’s particular circumstances and investment objectives. SEC-registered broker-dealers and investment advisers (each, a “firm”) offering services to retail investors must file with the Commission and provide to retail investors a relationship summary containing plain English disclosures on specific topics under ...
Source: mondovisione.com