Investment advisers and broker-dealers are required to file Form CRS with the SEC or FINRA by June 30, 2020. For compliance teams, meeting this regulatory obligation can be cumbersome and time-consuming; the final rule alone is over 500 pages.
CSS has been on the front lines of the topic through educational offerings as well as our new technology solution. Sign up for our upcoming webinar to learn more about how to efficiently prepare for this important task.
Our presenters, CSS consulting team co-executive directors Jackie Hallihan and Keith Marks, will take attendees through the form, as well as a quick demo of our new Form CRS Automator, a tool designed to save compliance teams valuable time while guaranteeing consistency with existing regulatory filings.
Fill in & submit the form below to watch this ComplianceCast™.
Subscribe to CSS Blog
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.