In the Press
April 12, 2022

Time for a Form CRS Tune-Up? (


It’s often tempting to blame the regulators for excessively obscure compliance guidance but it’s hard to make that case for Form CRS. Financial Industry associate Christopher Grobbel, points out that the SEC took a gradual approach to enforcing the form’s requirements. Financial Industry associate Lauren Schwartz, also explains that the approach is based on SEC guidance. Read the article here.