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Form CRS Fines Could Rise in Next Wave

July 30, 2021

 

Foreside’s Craig Moreshead shares Form CRS fines will keep increasing and explains what steps the SEC is taking to reprimand investment advisors and broker-dealers.

In a recent discussion with Ignites, Craig shared how agencies should be diligent since the SEC can constantly raise its level of scrutiny.

There’s been a lot of indication in recent years that the technology the SEC has to identify red flags in firms, to identify problems and issues — they’re a lot more sophisticated in identifying those than they were, say, 10 years ago.

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