Form CRS and Reg BI Compliance: OCIE Reveals What Examiners Want to See

The SEC’s Office of Compliance Inspections and Examinations this past week issued risk alerts specifying what examiners may look at when they visit advisory firms and broker-dealers to check on compliance with Form CRS and Regulation Best Interest. With the SEC now clear that the June 30 compliance date for both requirements will not be changed (ACA Insight, 4/6/20), firms – already dealing with the problems created by the coronavirus – will need to make sure they are in compliance, applicable with these new rules.
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