Tag: Form CRS
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce
The European “merit regulation” on ESG is not a model for the United States, suggested SEC Commissioner Hester Peirce, in her keynote conversation with IAA President & CEO Karen Barr at the 2021 IAA Investment Adviser Compliance Conference.
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement
Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of the SEC’s Division of Examinations, in a conversation with IAA General Counsel Gail Bernstein at the 2021 IAA Investment Adviser Compliance Conference.
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Rick Fleming has submitted a scathing Report on Activities for fiscal year 2020.
January 13, 2021
Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Jay Clayton returned to the venue of his first speech as Chairman to review the SEC’s accomplishments over the last “three-plus years.”
November 24, 2020
Tags: Accredited Investor, Form CRS, Jay Clayton
SEC, FINRA Share Initial Form CRS, Reg BI Observations in Virtual Roundtable
The SEC and FINRA held a virtual roundtable to discuss initial observations on compliance with Regulation Best Interest (Reg BI) and Form CRS.
October 28, 2020
Tags: Disciplinary History, Form CRS, Reg BI, Retail Clients
SEC Issues Form CRS FAQs on Disciplinary History Disclosures
The SEC issued new Form CRS FAQs regarding disciplinary history disclosure requirements.
October 09, 2020
Tags: Disciplinary History, Form CRS
SEC Staff Issues Statement on Form CRS Filings
On July 27, the SEC staff published a statement regarding their initial observations on Form CRS filings.
August 11, 2020
Fiduciary Advice in a New Era: A Real Relationship for the Long Term
On June 30, the SEC’s new standard of conduct for broker-dealers (Reg BI) and Form CRS for advisers and brokers went live, with the Advisers Act fiduciary interpretation having already been in effect over the past year.
July 13, 2020
Tags: Columns, DOL, Fiduciary, Form CRS, From the President & CEO, Karen Barr, Reg BI
An Adviser’s Fiduciary Duty: How the Landscape Has Changed and What to Do About It
An adviser’s fiduciary duty might not look much different today than it did a year ago, viewed strictly from the standpoint of the obligations owed. After all, advisers must still meet fundamental duties of loyalty and care.
July 10, 2020
Tags: Columns, Compliance Corner, Fiduciary, Form CRS, Reg BI
The Court of Appeals for the Second Circuit has denied petitions to overturn the SEC’s Reg BI, which adopts a new standard of conduct for broker-dealers when they make recommendations to retail customers.
June 29, 2020
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