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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