Wendy Li

Wendy Li

Proskauer Rose LLP

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SEC Staff Issues Bulletin on the Care Obligations of Advisers and Broker-Dealers to Retail Investors

On April 20, 2023, the staff of the Securities and Exchange Commission (the “SEC”) published an FAQ‑style bulletin[1] that provides guidance on the care obligations of broker‑dealers and investment advisers in providing...more

5/3/2023  /  Broker-Dealer , Fiduciary-Standards , Investment Adviser , Regulation Best Interest , Retail Investors , Securities and Exchange Commission (SEC)
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