Pandemic Raises Risk of Advisor Misconduct, SEC Warns

August 19, 2020 by Melanie Waddell

The Securities and Exchange Commission’s exam division released Wednesday a risk alert identifying COVID-19-related issues, risks and practices that registered investment advisors and broker-dealers should be focused on.

The alert, issued by the agency’s Office of Compliance Inspections and Examinations, notes that market volatility related to COVID-19 “may have heightened the risks of misconduct in various areas that the staff believe merit additional attention.”

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Originally Posted at ThinkAdvisor on August 12, 2020 by Melanie Waddell.