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Customer Relationship Summary Form (Form CRS) compliance is required by June 30, 2020.
Regulation Best Interest (BI) is a 2019 Securities and Exchange Commission (SEC) rule related to the Department of Labor's Fiduciary Rule that requires broker-dealers to only recommend financial products to their customers that are in their customers best interests and to clearly identify any potential conflicts of interest and financial incentives the broker-dealer may have with those products. Form CRS requires firms to provide retail investors, and file with the SEC, a customer relationship summary.
Compliance requires more than a print process. From creation and distribution to post-delivery archival and audit trail reporting, you’ll need the tools and expertise to tackle the entire Form CRS ecosystem. Learn how you can efficiently execute and optimize your Form CRS client experience and integrate Form CRS with your legacy systems.
Watch a panel of Broadridge experts for the first webinar in our Reg BI series. In this webinar we shared industry insights, critical considerations and four pillars to create your Form CRS ecosystem.