Updated Friday, April 18, 2014 as of 6:55 AM ET
Practice - Regulatory/Compliance
SEC Advisor Exams to Focus on Conflicts of Interest, Marketing Claims
by: Kenneth Corbin
Monday, February 25, 2013

The focus on conflicts of interest is not a new priority for the SEC's examiners, nor one limited to advisors, and the agency pointed out that the issue has become "an integral part of our assessment of which firms to examine, what issues to focus on, and how to examine those areas."

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