Updated Monday, July 28, 2014 as of 4:24 AM ET
Practice - Regulatory/Compliance
Conflict Disclosures: SEC Warns of Top Issues
Tuesday, March 11, 2014

ARLINGTON, VA. -- When SEC examiners come to inspect an advisory practice, the exercise seldom results in an enforcement action. But in nearly all their reviews, examiners cite the advisor for insufficient disclosures about conflicts of interest, according to a senior commission official.

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