SEC warns RIAs over cash-sweep disclosures amid lawsuits
The SEC told registered investment advisers to prioritize clients when managing cash-sweep programs, citing disclosure failures and fiduciary duty concerns as lawsuits target dozens of firms.
SEC warns RIAs over cash-sweep disclosures amid lawsuits
The SEC told registered investment advisers to prioritize clients when managing cash-sweep programs, citing disclosure failures and fiduciary duty concerns as lawsuits target dozens of firms.