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.
SEC Advisor Exams to Focus on Conflicts of Interest, Marketing Claims
To continue, please sign in or become a member.
Join the Financial Planning
MEMBERSHIP IS FREE
- Access to essential information that independent advisors need to make informed decisions
- Exclusive E-Newsletters delivering the latest headlines to your inbox
- Access to white papers, web seminars, blogs, discussion boards, and CE exams
Have an account?
SIGN IN HERE