06.6.2018 | Firm News
Tom Potter Featured in Financial Advisor IQ on the SEC’s Conflict of Interest and Disclosure Rules
In an article published in Financial Advisor IQ on June 5, 2018, partner Thomas Potter explains the SEC’s stance on advisors that violate conflict of interest and disclosure rules and how the severity of deVere USA’s violations resulted in a $8 million civil penalty. Potter notes that the SEC has been ‘ramping up’ its efforts to pursue advisors that violate conflicts of interest and disclosure rules, and that closer monitoring of mutual funds share class violations is an example of this.
You may access the full article here.