Conflict of Interest Remains Top SEC Priority

more+
less-

The SEC continues to identify conflicts of interest as a key focus of its risk-based strategy. In recent remarks before the National Society of Compliance Professionals, Carlo V. di Florio?Director, Office of Compliance Inspections and Examinations, reiterated that conflicts of interest are a top priority of the agency’s examination program.

LOADING PDF: If there are any problems, click here to download the file.


DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Eckerle Law | Attorney Advertising

Written by:

more+
less-

Eckerle Law on:

Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.
×
Loading...
×
×