3 Compliance Failures of Newly Registered Advisors: SEC
March 28, 2023 by Melanie Waddell
The Securities and Exchange Commission warned Monday that newly registered advisors’ compliance policies aren’t up to snuff, including their marketing practices, which appear to contain false or misleading information.
In a just-released risk alert, the SEC’s Office of Examinations cites three deficiencies in newly registered advisors’ compliance practices.
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Originally Posted at ThinkAdvisor on March 27, 2023 by Melanie Waddell.
Categories: Industry Articles