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Practical Steps for Creating Form CRS for Investment Advisers

November 20, 2019
1:00 PM - 3:00 PM EST
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This webinar does not qualify for CE Credit

Form CRS must be prepared and filed by investment advisers (and broker dealers) that provide services to retail investors no later than June 30, 2020. While this new summary disclosure document is exceedingly short (no more than 2 pages, 4 for dual registrants), it must nevertheless highlight material facts about a firm’s services, fees and conflicts of interest, among other disclosures, and encourage investors to ask insightful (prescribed) questions – no easy task! Form CRS is intended to be the first level of a multi-layered approach to “full and fair disclosure”, discussed at length in the SEC’s Fiduciary Interpretive Release.

This seminar will explore the requirements and creative possibilities of Form CRS (aka Form ADV Part 3), as well as the implications of the new Form on your firm’s compliance program, to help you prepare meaningful, layered disclosures and ensure timely delivery to clients and prospective clients.

Learning objectives of this webinar:

  • Receive practical tips for initiating the development of Form CRS
  • Identify the material facts and conflicts of interest that must be disclosed
  • Recognize the role of Form CRS in the SEC’s overarching goal of full and fair disclosure and the concept of informed consent
  • Assess the impact of Form CRS on the firm’s Compliance Program

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Max Mejiborsky: Senior Consultant, NRS
Mederic Daigneault: Senior Director, Consulting Operations, NRS