Advisers will see SEC regulators employ new methods to investigate a firm's staff training, the suitability of its investment recommendations, conflicts of interest disclosures and cybersecurity safeguards, according to attorneys at the law firm Eversheds Sutherland.
Even if, as many observers expect, enforcement under newly minted SEC Chairman Jay Clayton is not as vigorous as it has been under his predecessors, there will be still be a focus on the most problematic types of conduct, enhanced by increased analysis of large swaths of data.
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