Probing the implications of the marked increase in the number and proportion of actions against registered investment advisers and broker-dealers in 2013
Identifying common themes to help prevent similar missteps and identify gaps before your next examination
Adopting compliance strategies that may help you to avoid regulatory fines and reputational damage
Reviewing the SEC’s strategy to file civil cases in which defendants are accused of negligence only, rather than harder-to-prove charges of intentional wrongdoing or recklessness
