David Ward

David Ward

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SEC (OCIE) Issues Risk Alerts Concerning Reg. BI

The SEC’s Office of Compliance Inspection and Examinations (OCIE) issued two risk alerts relating to Regulation Best Interest (Reg. BI). The two alerts summarize how future OCIE examinations will focus on compliance with Reg....more

4/9/2020  /  Compliance , Investor Protection , Investors , OCIE , Regulation Best Interest , Risk Alert , Securities , Securities and Exchange Commission (SEC)
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