SEC cracks down on advisers’ access to clients’ outside accounts
As part of its focus on custody violations, the SEC is examining cases in which clients give advisers their usernames and passwords.
Advisers who can access their clients' employer-sponsored retirement accounts may find themselves in the crosshairs of the Securities and Exchange Commission.
As part of its ongoing emphasis on custody violations, the agency is looking carefully at situations in which clients give advisers their use
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