BOSTON -- Even with proposed regulation to the financial advisory industry still pending, several industry members at Wednesday’s Women Advisors Forum conference were certain about two things: the Securities and Exchange Commission should have expanded oversight and the industry will bear more costs.
“We are squarely in the camp in saying that the [Securities and Exchange Commission] should be adequately funded to increase its oversight of investment advisors,” said Marilyn Mohrman-Gillis, managing director of public policy and communications at Certified Financial Planner Board of Standards Inc.
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