The regulator also listed expensive, complicated and illiquid investment recommendations as coming under increased scrutiny in 2024. The Securities and Exchange Commission published its 2024 exam ...
Advisers seeking to keep clients happy might want to give them a test. The Kolbe A Index, for example, describes one's greatest strengths and limitations — and clients can take a 15-minute version of ...
In a separate exam sweep, the SEC found that robo-advisers weren't acting in clients' best interests and were misleading in their advertising. By Mark Schoeff Jr. Investment advisers are charging ...
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