Tag: Form CRS
SEC Provides Relief Related to Mailing Adviser and Fund Documents to Clients in International Jurisdictions June 25, 2020 The SEC’s Divisions of Investment Management and Trading and Markets have...
June 25, 2020
Tags: Form ADV, Privacy, Coronavirus, COVID-19, Cybersecurity, Form CRS, Investment Company
SEC Staff Issues Statement on Form CRS Filings
SEC Staff Issues Statement on Form CRS Filings August 11, 2020 On July 27, the SEC staff published a statement regarding their initial observations on Form CRS filings. As...
August 11, 2020
Takeaways for Advisers from SEC FAQs on Regulation Best Interest
Takeaways for Advisers from SEC FAQs on Regulation Best Interest January 16, 2020 The SEC staff in the Division of Trading and Markets has issued its first round of...
January 16, 2020
Tags: Conflicts of Interest, Form CRS, Reg BI
New Report by SEC’s Investor Advocate Raises Concerns About Proxy Advisory Firms, Form CRS, Commission’s “Solely Incidental” Interpretation December 29, 2019 Rick FlemmingSEC Investor Advocate The SEC’s Office of...
December 29, 2019
Tags: Form CRS, Proxy Advisory Firms, Rick Fleming, SEC Investor Advocate
SEC Publishes FAQs on Form CRS
SEC Publishes FAQs on Form CRS November 27, 2019 The SEC staff has published FAQs addressing a number of formatting and delivery requirements for new Form CRS that, beginning in...
November 27, 2019
SEC Publishes Additional FAQs on Form CRS
SEC Publishes Additional FAQs on Form CRS February 20, 2020 The SEC staff recently published additional FAQs addressing several issues relating to new Form CRS which, beginning in July...
February 20, 2020
Tags: Form CRS
SEC Staff Issues Additional Form CRS FAQs On Filing and Delivery Requirements
SEC Staff Issues Additional Form CRS FAQs On Filing and Delivery Requirements April 13, 2020 SEC staff have issued four new FAQs to provide guidance on filing and delivery...
April 13, 2020
Tags: Form CRS
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI
New SEC Risk Alerts Detail Scope, Content of Compliance Exams for Form CRS, Reg BI April 7, 2020 The SEC examination staff has issued a Risk Alert providing the...
April 07, 2020
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic Also Confirms June 30 Reg BI, Form CRS Compliance Date June 18, 2020 Jay Clayton Saying the effects...
June 18, 2020
Tags: CARES Act, Coronavirus, COVID-19, Form CRS, IRAs, Jay Clayton, Reg BI, Retirement Plans
New, 11th Hour Form CRS FAQs Published by SEC
New, 11th Hour Form CRS FAQs Published by SEC June 26, 2020 With the June 30 compliance date less than two business days away, the SEC staff on June...
June 26, 2020
Tags: Form CRS
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