Updated Wednesday, July 30, 2014 as of 7:11 AM ET
- RIAs
RIAs Warned of Heightened SEC Scrutiny
Thursday, March 20, 2014

WASHINGTON -- With regulators vowing to crack down on bad actors in the advisory sector, RIAs need to get serious about compliance, a regulatory expert cautions -- adding that it falls to the senior management of the firm to set the tone.

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