marzo 22 2023

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


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.

Read the legal update here.

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