Events,Compliance and Regulatory Alerts - 04-28-20

This Week at Bates: Countdown to Form CRS for IAs Webinar

The countdown is on! By June 30, 2020, all SEC-registered IA firms must file their Client Relationship Summary (“Form CRS”) with the SEC and post on their website, then provide the Form CRS to all prospects and retail clients. Attend this complimentary webinar, specifically designed for SEC-registered IA firms, so you can tackle Form CRS with confidence. Our regulatory compliance team will guide you through the process and the following topics:

  • Tips for writing the CRS
  • Policies and Procedures, including what you need to be thinking about and what do you need to put in place
  • Getting your team ready: training, delivery, and record keeping
  • New SEC FAQs and Form CRS Alert
  • Your Questions and Answers

When: Thursday, April 30, 2020 - 12:00 PM EST/9:00 AM PST

Program Length: 1 hour

Bates Program Faculty (pictured above):

Linda A. Shirkey, Managing Director

Rory O'Connor, Director

Jennifer Sullivan, Consultant


Registration is required to view this Zoom webinar.

Learn More and Register Now


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