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Reg BI and Form CRS: Firms Must Comply by June 30 But Examiners Will Apply a 'Good Faith Effort' Standard
Wilmer Hale 
Apr. 6, 2020 "While the Chairman's statement acknowledged the challenges that firms are facing and the significant resources they are allocating in response to the COVID-19 outbreak, the SEC will not provide an extension.... [R]egulators may show some restraint in their examination of firms, at least in the initial post-June 30th period,,, This restraint, however, will be predicated on firms having made a 'good faith effort' to implement policies and procedures necessary to comply with Reg BI and Form CRS by the compliance date." MORE >> |
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