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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"). ....

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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. ....

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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 standardized headings and in a prescribed order. The relationship summary is intended to promote transparency, comparability and better-informed decision-making, through clear, concise disclosures, and by summarizing in one place selected information about a particular firm. This format is designed to allow retail investors to more easily compare different firms’ services, fees, conflict ....

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