6/11/2014 – SEC ‘Drilling Down’ on Compliance Programs; Wedbush a ‘Critical Case’ (ThinkAdvisor)

Jun 12, 2014 No Comments by

The Securities and Exchange Commission’s Enforcement Director Andrew Ceresney said Wednesday that the division’s asset management unit and broker-dealer task force has been “drilling down” over the past year on firms’ compliance programs as well as being “very focused” on investment advisory fraud and making sure advisors are fulfilling their fiduciary duties.

Read the full article at ThinkAdvisor.

Financial Landing 2014

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