In addition, the Commission has been using administrative proceedings because they are more streamlined than civil litigation, says SEC Enforcement Director Andrew Ceresney.
Estimated reading time: 0 minutes, 18 seconds
SEC Identifies Recent Areas of Focus
The Securities and Exchange Commission’s asset management division and broker-dealer task force have been focused on firm’s compliance programs, investment advisory fraud, and advisors’ fulfillment of their fiduciary duties. So reports ThinkAdvisor.
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