Updated Saturday, July 26, 2014 as of 5:13 AM ET
Practice - Regulatory/Compliance
SEC Zeros In on Potential Conflicts of Interest
by: Kenneth Corbin
Monday, April 1, 2013
Print
Email
Reprints
Partner Insights

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

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Lists
2014 Summer Reading List for Advisors

Current Issue

The July Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

August 10, 2014 |

September 9, 2014 |

September 17, 2014 |

September 20, 2014 |

September 28, 2014 |

Already a subscriber? Log in here