Advisers Should Review Disciplinary Disclosures, Says Walsh

OCIE chief counsel John Walsh has highlighted disciplinary disclosures made on DRPs attached to Form BDs and U-4s as an area that merits heightened attention by advisers. At the recent “SEC Speaks” conference, Walsh noted that the SEC has “very serious disclosure requirements” with respect to past disciplinary events. “I would urge you to take […]
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