SEC explores ways to strengthen compliance of independent advisers
The regulator sees difference in compliance levels between W-2 and affiliated advisers, says Peter Driscoll, acting director of the SEC's Office of Compliance Inspections and Examinations.
Financial advisers who are on the staff of an advisory firm are more likely to adhere to securities regulations than independent advisers, a Securities and Exchange Commission official said on Thursday.
Peter Driscoll, acting director of the SEC's Office of Compliance Inspections and Examinations,
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