Tagged with "senior safe act"

SEC Examiners to Focus on How RIAs are Protecting Elderly Clients

Posted on March 13th, 2019 at 11:25 AM
SEC Examiners to Focus on How RIAs are Protecting Elderly Clients

During the IAWatch compliance event in Washington D.C. this month, SEC officials emphasized that examiners will continue to focus on how RIAs serve their senior clients.

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