Upcoming ComplianceCasts™

The Ultimate Guide to Form CRS & Sneak Peek at the Market’s First Solution

Date: Wednesday, Feb. 26, 2020
Time: 11 am-Noon ET

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 the 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.

NOTE: All attendees will receive a special discount code to purchase Form CRS Automator.

Fill out the form below to register. Can’t make it live? A replay will be sent to all registrants.

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The Compliance Solutions Strategies team offers ComplianceCasts, a customized web-based curriculum for IAs, BDs and hedge funds. ComplianceCasts intuitively examines the relationships between key regulatory issues and real-world business operations, addressing the educational needs of compliance officers and staff. Designed for your whole firm, ComplianceCasts are run by Ascendant experts with more than 25 years of experience in developing compliance training programs.

ComplianceCasts training focuses on key areas of interest for compliance, operational, and management personnel. Each ComplianceCasts session further integrates annual review compliance concepts, appropriate testing considerations, and SEC examination issues because we believe those frameworks must always be reviewed for a complete understanding of all compliance issues.

You will access ComplianceCasts via our secure link and view state-of-the-art active presentations – all you need is a web browser and a phone line to participate in real-time responses by panelists and information sharing with other participants.

To check out our ComplianceCast archive, click here.

View ComplianceCast™ Archive

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