Recently, the Securities and Exchange Commission (SEC) charged 12 additional firms for failure to meet Form CRS (Client Relationship Summary) obligations. Six broker-dealers and six investment advisers agreed to settle charges for neglecting to deliver and file Form CRS.
Jon-Jorge Aras, Partner and Chair of Securities Litigation at Warren Law Group states, “Keeping up with your regulatory and compliance obligations can save your firm time and money, as well as and prevent reputational damage.”
If you are tasked with keeping your firm in compliance with FINRA and SEC rules and regulations, and you would like to prevent unnecessary legal action and fines from a government regulator, you should seek experienced counsel. Call (866) WLGROUP or email email@example.com to schedule your complimentary consultation.