WASHINGTON The SECs enforcement division has tightened oversight of advisors by focusing on some specific, often-times arcane practice areas, the head of the division said on Wednesday.
In remarks at an event organized by the D.C. Bar, SEC Director of Enforcement Andrew Ceresney noted that investment advisors remain a subject of particular concern at the commission. To get tougher on them, Ceresney said his division was looking into new corners of advisory practices, and working to better understand some of the more arcane areas of advisory work.
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