Compliance Insights

Compliance Reviews

Practical guidance for complying with new Form CRS requirements

The Securities and Exchange Commission (SEC) adopted new rules requiring broker-dealers and SEC-registered investment advisors to prepare and file a client relationship summary ("Form CRS") by June 30, 2020. This white paper offers detailed, practical guidance to help you complete, file, and deliver Form CRS so you can fulfill the SEC's new requirement.

Regulatory readiness: How to attain and maintain a state of exam preparedness

Maintaining a mindset of perpetual readiness is the best way to prepare for an SEC exam. That means that the firm embodies a culture of compliance through its staff training, policies and procedures, client communication, and timely completion of routine compliance tasks. As rules and regulations evolve, having a plan to keep the firm's policies and procedures up to date can help avoid last-minute panic when an exam is scheduled.

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