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Email Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management industry. The Securities and Exchange Commission (“SEC”) in particular has emphasized that certain activities by investment advisers directly impacting retail investors, such as inadequate fee disclosure, dubious sales practices and inappropriate steering to unsuitable strategies and products, is a top enforcement priority under the leadership of SEC Chairman Jay Clayton. https://www.cadwalader.com/resources/clients-friends-memos/under-advisement-sec-scrutinizes-wealth-management-industry