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SEC Announces Exams Will Focus on Compliance with Form CRS

By Thompson Hine LLP on April 15, 2020

If you can believe it, May 1, 2020 is almost upon us.  And if you don’t remember from our February post, that is the day when advisory firms serving retail investors may start filing client relationship summaries on Form CRS.  As a reminder, Form CRS gives clients a quick summary of the key things…

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The Investment Management Blog is an operational and compliance resource for investment managers of all sizes. Because of the unique way that these firms serve clients, investment managers face regulatory and functional challenges that traditional advisers do not. This blog regularly addresses those challenges in thoughtful, concise and practical posts.

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