SEC hot-button topics that advisers need to know about
Priorities include business continuity plans, cybersecurity and fee disclosure.
If you're an adviser, compliance with Securities and Exchange Commission regulations has to be top of mind at all times. What's top of mind at the SEC these days?
• Business continuity planning. The SEC proposed new rules in June on business continuity planning for registered investment advise
Learn more about reprints and licensing for this article.