by Patrick M. Kelly | Feb 28, 2014 | Broker-Dealers, Financial Advisors, SEC
“The agency will ‘intensify’ its focus on the role of financial advisors in 2014,” agency chairwoman Mary Jo White emphasized in a speech Friday morning, February 21 .[pullquote]The agency will ‘intensify’ its focus on the role of financial advisors in...
by Patrick M. Kelly | Oct 29, 2013 | Compliance, SEC
The SEC has sanctioned three investment advisory firms and their officers for repeatedly ignoring problems with their compliance programs, the agency announced last week. Andrew Bowden, director of the SEC’s National Exam Program, stated: “After SEC examiners...
