On April 7, 2020, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced that, after the initial June 30, 2020 compliance date to file Form ...

Your financial adviser may have presented you with a new compliance form called Form CRS. This form is now being required to be sent to clients by the Securities and Exchange Commission (SEC), which ...

On June 5, 2019, the Securities and Exchange Commission (the “SEC”) adopted a series of new rules and interpretations designed to enhance the protection of retail investors and to improve the quality ...

Financial services regulation doesn’t lack for the occasional drama. In early June the Securities and Exchange Commission (SEC) adopted Regulation Best Interest (“Reg BI”), the Form CRS Relationship ...

CHICAGO, March 24, 2020 /PRNewswire/ -- Envestnet, Inc. (NYSE: ENV) has entered into a strategic partnership with Compliance Solutions Strategies (CSS) to offer a comprehensive, fully customizable ...

Form CRS is one of the latest Reg BI requirements for wealth management firms, and it’s not going anywhere anytime soon. But what are the latest updates to Form CRS, and how can firms prepare for a ...

Financial services firms may be failing to disclose disciplinary history on their Form CRS for a variety of reasons, from intentionally covering past misdeeds to failing to provide proper oversight on ...