6a. BD/IA – A Practical Guide to Form CRS (Client Relationship Summary)


This session will focus on and preview initial thought leadership and approaches for Form Client Relationship Summary (CRS) from the SEC Best Interest Rulemaking package. Attendees will leave with ideas and best practices to implement for their firm to comply within required deadlines. Form CRS is a key component for success for the SEC’s new Regulation Best Interest framework and compliance programs.
Advanced Preparation: None
Pre-requisites for participation: None
Learning Objectives:
• Learn who prepares and delivers Form CRS
• Hear about how to write a short and compliant Form CRS
• Understand the key disclosure obligations for fees and conflicts
• Learn when Form CRS must be updated

Sponsored by:

Panel                        Program Level: Intermediate Date: October 22, 2019 Time: 11:25 am - 12:25 pm Richard Marshall Gwen Weithaus