Updated Thursday, April 24, 2014 as of 7:50 AM ET

Email This Article

SEC Advisor Exams to Focus on Conflicts of Interest, Marketing Claims

Kenneth Corbin

The SEC plans to take a close look at potential conflicts of interest in the investment-advisor practices that its examiners oversee, and will ramp up scrutiny of the marketing and performance claims of federally registered advisors, according to the examination guidance the agency recently issued for the coming year.

Login for Registered Users:

Log in below to email an article:

Lists
Advisors on the Move: Cambridge Snags $500 Million Team

Current Issue

The April Issue is now online!


TWITTER
FACEBOOK
LINKEDIN
Already a subscriber? Log in here