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.
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
Recent ComplianceCast™ Minutes