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

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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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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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