Live: One Dial-in One Attendee
Corporate Live: Any number of participants
Recorded: Access recorded version, only for one participant unlimited viewing for 6 months ( Access information will be emailed 24 hours after the completion of live webinar)
Corporate Recorded: Access recorded version, Any number of participants unlimited viewing for 6 months ( Access information will be emailed 24 hours after the completion of live webinar)
The US. Securities and Exchange Commission (“SEC”) adopted new rules and amendments as of June 5, 2019, requiring both Brokers and Investment Advisers to complete a Client Relationship Summary.
The relationship summary is intended to inform the retail investor about the types of services, fees, conflicts of interest, and the required standard of conduct associated with those relationships. Firms must also report whether the firm and its financial professionals have a reportable legal or disciplinary history as well as how the retail investor can obtain additional information about the firm. The relationship summary will also reference additional information from the SEC regarding investor education and other materials.
Spend 60 minutes with a compliance professional on the proper requirements of creating, filing, delivering, and maintaining the Form and the next steps once complete.
Why should you Attend: Many firms may have drafted or even filed their Form CRS which is due by June 30, 2020, but is it Exam ready? Do you know what you need to do next? Properly maintaining, delivering and updating Form CRS for both Brokers and Investment Advisers is key to ensuring compliance.
Have you answered the conversation starters? Is Form CRS consistent with your other regulatory documents?
We can help you ensure the Form CRS and firm are Exams ready by spending 60 minutes listening to tips from a seasoned compliance professional.
Areas Covered in the Session: