SEC plans more scrutiny of expert networks

Advisers should brace for tougher SEC scrutiny of expert networks for MNPI

SEC alumni warned during an ACA Group webinar that investment advisers should anticipate tougher reviews from the regulator of their expert network usage due to the possibility of obtaining material non-public information during calls. Speakers shared advice on how to act. Tom Auchterlonie reports.

Email prepared by Tom Auchterlonie