SEC's exams will focus on conflicts of interest, marketing

04/2/2013 | Financial-Planning.com

Potential conflicts of interest, including undisclosed compensation, will be a top area of focus for the Securities and Exchange Commission this year as it examines investment advisers. Marketing and performance claims of federally registered advisers are another area of scrutiny. These areas present "the highest risks to investors and the integrity of the market," SEC officials say.

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