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Mayer Brown Microtalk: Regulation Best Interest - SEC Observations from Broker-Dealer Examinations

Автор: Mayer Brown

Загружено: 2023-03-22

Просмотров: 52

Описание: In this MB Microtalk video, Mayer Brown partner Tim Nagy discusses the SEC’s risk alert (the “2023 Risk Alert”). The 2023 Risk Alert raises awareness regarding the most frequently cited deficiencies and weaknesses observed in broker-dealer examinations to assess compliance with Regulation Best Interest.

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Mayer Brown Microtalk: Regulation Best Interest - SEC Observations from Broker-Dealer Examinations

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