Sarah Sennett

Sarah Sennett

Dechert LLP

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Recent SEC Enforcement Actions Highlight SEC Focus on Adviser Fiduciary Duty When Recommending and Reviewing Account Types

The Securities and Exchange Commission recently brought two enforcement actions that highlight the SEC’s focus on the investment adviser fiduciary duties, particularly as applied to recommendations that clients open or remain...more

10/20/2022  /  Broker-Dealer , Disclosure Requirements , Duty of Care , Enforcement Actions , Fiduciary Duty , Investment Adviser , Investment Advisers Act of 1940 , Policies and Procedures , Securities and Exchange Commission (SEC)
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