Founder and President Amy Lynch was recently quoted on the new SEC Enforcement priority to have a more extensive and aggressive approach with individual advisers committing wrongdoing. Ms. Lynch cites the reputational impact on advisers who the SEC is pursuing, which will remain on their record and thus inform the investing public that they should steer clear of the individual. See InvestmentNews, “SEC to target more individual advisers in 2018, experts say.” Also, See our ComplianceAlert, “SEC Issues FY 2017 Enforcement Report and Priorities.”
