Form CRS & Conversation Starters Made Easy: Practical Application & Tips for Investment Advisers, Dual Registrants & Broker-Dealers

In this ComplianceCast webinar, co-executive directors of CSS compliance services Jackie Hallihan and Keith Marks address the challenges of Form CRS as firms prepare for its June 2020 compliance date. Topics include:

  • Practical considerations for Form CRS
  • How to manage Conversation Starters
  • Conversation starter challenges: supervision, training, more…
  • Where to start? Roadblocks?
  • Identifying conflicts and disclosures
  • Planning and organizing Conversation Starters
  • Planning and organizing Form CRS – a single relationship summary or two?
    • Content, Design
    • 12 areas to cover
    • Filing and updating, transition, delivery
    • Electronic posting – Website considerations
    • Recordkeeping

Fill in the form below to watch this ComplianceCast™.

If you need more help on Form CRS, visit our Ultimate Guide to Form CRS page, with information about the regulation, as well as our solution.

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