WASHINGTON – The head of a new SEC examination unit is putting advisors who cater to clients planning for retirement on notice that they should expect greater scrutiny over the next few years.
The commission has tapped Peter Driscoll to lead the new Office of Risk and Strategy within the Office of Compliance Inspections and Examinations, a role where he will help identify market risks and coordinate where to channel the SEC's scarce exam resources.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access