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The weekly news source for investment management legal and compliance professionals

News July 1, 2019 Issue

Form CRS Challenge: Prescriptive Instructions Leave Room for Flexibility

Sometimes completing a two-page or four-page form may be just as challenging as completing a much longer one. The SECís new Form CRS, while not overly daunting in what it requires of advisers and broker-dealers, will require a certain degree of attention to the information the agency wants shared and perhaps some imagination in just how registrants choose to share it.

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