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The SEC Means Business About Conflicts of Interest. Here’s What the Agency Is Looking For.
October 26, 2026 - Barron’s Advisor
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Recent actions signal that conflicts of interest remain a priority for the U.S. Securities and Exchange Commission (SEC), particularly where investment advisers or their affiliates receive financial benefits tied to client recommendations.
In their article published in Barron’s Advisor, partners Greg DiMeglio and Jan Folena, co-chairs of the firm’s securities and regulatory enforcement practice, examine the SEC’s latest actions and the roadmap they provide for advisory firms.
