SEC: Enforcement

SEC Commissioners Crenshaw, Lizárraga agree on adviser duties regarding complex products

"Investment advisers and broker-dealers that recommend these products must ensure that they are in the client’s or customer’s best interest"

May 5 2023

You should only be asked to sign in once. Not the case? Click here

Get limited access to industry news, analysis and best practice guides, plus regular email updates

Email address

First name

first name

Last name

last name

Organisation

Country Phone number Job title

Job Title

To register, please review and accept our terms and conditions and privacy notice. I accept: sourceRegistration

Register now