Weiner, Perrie Michael; Hunnius, Patrick; Crain, Sean R. - In: Journal of Investment Compliance 16 (2015) 2, pp. 22-25
Purpose – To address “Conflicts, Conflicts Everywhere,” a speech at the recent IA Watch 17th Annual Compliance Conference by Julie M. Riewe, co-chief of the Securities and Exchange Commission’s Enforcement Division’s Asset Management Unit (AMU). Design/methodology/approach – Provide...
