Cece Baute Mavico

Photo of Cece Baute Mavico

Latest Articles

During last week’s SEC Speaks conference, SEC Staff discussed examination and enforcement priorities, its increasing use of data aggregation and sophisticated technology and coordination efforts to proactively address potential issues in the early stages. For broker-dealers, the Staff identified four specific areas of focus: Churning and excessing trading, Anti-money laundering (AML), Retail investors investing in alternative or more sophisticated products, and Retirement account rollovers and transfers. See Examination Priorities For 2015, SEC Office…