Tag: Form CRS
SEC Compliance Outreach Program Scheduled for November 15
The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.
September 22, 2022
Tags: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
Tags: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions
Advisers Are Permitted to Use the Word “Fiduciary” in Form CRS
Advisers are permitted to use the word “fiduciary” in their disclosures, including new Form CRS, contrary to recent press reports that seem to imply otherwise. The IAA received this confirmation...
June 20, 2019
SEC Fines 12 Additional Firms for Failing to Timely File and Deliver Form CRS
SEC settles 12 additional Form CRS cases.
February 18, 2022
2022 IAA Policy Outlook: Changes Ahead, Changes Behind
IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.
January 10, 2022
Tags: Fiduciary, Form CRS, From the President & CEO, IAA Policy, Karen Barr, Proxy Voting, Sustainable Investing
SEC Staff Releases Additional Form CRS Observations
Following a new review, SEC staff has released additional observations regarding the content, format, and web posting of Form CRS disclosures.
December 21, 2021
Tags: Discl, Disclosure, Fiduciary, Form CRS
SEC Fines Advisers for Failure to Comply with Form CRS Requirements
In two enforcement actions, the SEC has fined New York-based investment advisers for failing to file and deliver Form CRS by the required deadlines.
November 04, 2021
Tags: Form CRS, SEC Enforcement, SEC Examinations
Seven Tips for Preparing for an SEC Exam
Compliance Conference Takeaways While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will...
March 30, 2021
Tags: Columns, Compliance Conference, Examinations, Form CRS, Takeaways
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement March 9, 2021 Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of...
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce Commissioner Questions Agency’s Recent ESG, Climate Initiatives March 9, 2021 The European “merit regulation” on ESG is not...
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways
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