The SEC’s Office of Compliance Inspections and Examinations recently announced its 2020 examination priorities, which focus on key areas of risk for the financial services and asset management industries.
This Bottom Line videocast discusses:
SEC’s focus on protecting retail investors, including senior investors, retirement investors, and teachers and military personnel
unique regulatory issues for dual-registrant broker-dealers and See more +
The SEC’s Office of Compliance Inspections and Examinations recently announced its 2020 examination priorities, which focus on key areas of risk for the financial services and asset management industries.
This Bottom Line videocast discusses:
SEC’s focus on protecting retail investors, including senior investors, retirement investors, and teachers and military personnel
unique regulatory issues for dual-registrant broker-dealers and investment advisers
financial technology innovation, including digital assets and electronic investment advice See less -
