The SEC may show up with your ex, and you may have some explaining to do. The Advisers Act imposes a fiduciary duty on advisers to seek best execution. What does it mean to seek best execution, and what are some of the ways your peers are getting into trouble with the SEC when it comes to best execution practices? Listen now for guidance from Ascendant’s EJ Yerzak.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- The Cost of Compliance: Understanding and Leveraging Resources
- Standards of Business Conduct: Personal Trading and Beyond
- Performance Advertising and Fees disclosures: Best practices for SEC and GIPS compliance
Recent ComplianceCast™ Minutes