How to Meet the Requirements of Form CRS (Client Relationship Summary) for Investment

Lisa Marsden
Lisa Marsden
Thursday, June 11, 2020
10:00 AM PDT | 01:00 PM EDT
60 Minutes

More Trainings by this Expert   Product Id : 503193

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$150 Live
$290 Corporate Live
$190 Recorded
$390 Corporate Recorded
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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:

  • What is FORM CRS
  • Who are Retail Investors
  • Designing Form CRS
  • Filing Form CRS
  • Delivery of Form CRS
  • Modification requirements
  • Record Keeping requirements
  • What to do with the conversation starters
  • What's Next

Who Will Benefit:
  • Investment Advisors
  • Brokers
  • Financial Professionals
  • CFPs
  • CFAs
  • Series 65 Holders
  • Compliance Professionals
  • Financial Advisers
  • Financial Planners
  • Financial Analysts
  • Wealth Advisors
  • Wealth planners
  • Portfolio Managers
  • Chief Compliance Officers
  • Chief Executive Officers
  • Compliance Managers
  • Audit
  • Sales Assistants
  • Registered Representatives
  • Investment Advisor Representatives

Speaker Profile
Lisa Marsden ,IACCP ®, is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services. Coulter Strategic Services also provides customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate, issued through the CFA Institute. Ms. Marsden currently serves on the Executive Committee of the Financial Planners Association of Greater Fort Lauderdale. Lisa M. Marsden, IACCP ®

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