This webinar is intended to inform members about the new relationship summary – Form CRS – that, beginning in July 2020, advisers and broker-dealers will need to provide to individuals investing for personal, family, or household purposes (i.e., retail investors).
Form CRS will, among other things, briefly address the types of services being offered and provide information regarding fees, costs, conflicts of interest, and the applicable standard of conduct. Delivery of Form CRS will be required at the beginning of the client relationship and at certain times for existing clients, and be subject to SEC filing and related recordkeeping requirements. This webinar will go through the specific requirements of Form CRS, including a discussion of:
- Definition of “retail investor”
- Presentation and format
- Specific disclosure items
- Filing, delivery, and updating obligations
Monique S. Botkin is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in February 2004, Monique was an associate in the financial services groups at Dechert LLP in Orange County, California and Alston & Bird LLP in Washington, DC. While in private practice, Monique represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Monique also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014.
Sanjay Lamba is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA in 2013, Sanjay worked at the SEC for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Sanjay started his career in private practice advising investment companies and investment advisers in regulatory related matters.
Registration for the live webinar has closed.
IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. The recording will be available within five business days after the webinar.
Non-Member Registration Fees: The live webinar is $250 (per computer logon). The recording will be available for purchase after July 19. Contact firstname.lastname@example.org to purchase the recording ($250).
For questions regarding this webinar, contact the IAA at (202) 293-4222 or email email@example.com.