ESI recently amended its Form CRS (Client Relationship Summary) to remove the reference to specific revenue sharing arrangements, and, instead, refer customers to its public website for information on the Firm’s revenue sharing arrangements with product sponsors. Therefore, in accordance with regulatory requirements, ESI recently mailed all existing customers an updated copy of its Form CRS. This mailing went to all customers with brokerage and/or directly-held accounts with other product sponsors, and to advisory clients, as well.
Inadvertently included with the Form CRS was the Acknowledgement of Form CRS Delivery page, which is generally attached to ESI’s Form CRS (ES0717). While this page was included with the mailing, neither customers nor representatives are required to complete or return it. The mailing is strictly informational in nature and does not require any further action on the part of our customers or representatives.
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TC118963(0121)1