Securities and Exchange Commission officials are drafting a document that defines suitability as it relates to the sale of securities. “The document is an extensive and comprehensive view of ...
The SEC’s Guidance recognizes that robo-advisers are fiduciaries, and provides suggestions on how they can meet the substantive requirements of the Investment Advisers Act of 1940. On February 23, ...
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued a recent “Risk Alert” noting observed deficiencies in broker-dealer supervision and compliance controls over retail sales of ...
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