In this short clip from the 2014 PLUS Conference session “PLI Exposures for Financial Services Intermediaries,” Richard Weber of The Ethical Edge discusses the SEC’s attempts to harmonize the differing standards to which registered representatives and investment advisors are held.
About the Author: PLUS
PLUS has over 35,000 industry professional members from throughout North America and around the world, and is the only association created by and for Professional Liability industry professionals. PLUS is recognized as the primary source of professional liability educational programs and seminars, networking events, educational products, and information regarding professional liability. Membership consists of individuals in the professional liability industry representing thousands of companies active in many industry fields.