Drew Chapman

Drew Chapman

King & Spalding

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The SEC Proposes Rules Governing Investment Advisers’ Dealings with Retail Investors

In recent years, improving the protection of retail investors has been a main focus of the Securities and Exchange Commission (“SEC”). On October 26, 2017, Stephanie Avakian, co-director of the Division of Enforcement,...more

6/12/2018  /  Fiduciary Duty , Financial Services Industry , Investment Adviser , Investment Advisers Act of 1940 , Retail Investors , Securities and Exchange Commission (SEC)
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