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ARTICLE · 01 AUGUST 2018

A Sample Form CRS For Structured Products

Mayer Brown
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In April 2018, the SEC released its proposed rules on Form CRS Relationship Summary ("Form CRS"), which would assist retail investors in choosing investment firms, professionals and account types...

United StatesCorporate/Commercial Law
Bradley Berman
Bradley Berman
Martín Estrada
Martín Estrada
Gonzalo Go
Gonzalo Go
Anna T. Pinedo
Anna T. Pinedo
Lailey Rezai
Lailey Rezai
Michael D. Russo
Michael D. Russo
Hanwen Zhang
Hanwen Zhang
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In April 2018, the SEC released its proposed rules on Form CRS Relationship Summary1 ("Form CRS"), which would assist retail investors in choosing investment firms, professionals and account types, and provide clarity on the nature of retail investors' relationships with investment professionals. Each investment professional registered as an investment adviser, a broker-dealer or both is required to deliver its Form CRS to any retail investor regardless of the latter's net worth. An investment adviser has to deliver its Form CRS on or before it enters into an investment advisory agreement with the retail investor; for a broker-dealer, on or before the retail investor engages its services. A dually registered investment adviser and broker-dealer has to deliver its Form CRS at the earlier of (i) entering into an investment advisory agreement with the retail investor or (ii) a retail investor engaging its services.

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