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Instant Insights / How the Coronavirus Affects HR, Benefits, and Retirement Professionals

Dealing with COVID-19's massive impact on employers, employee benefits, 401(k) and pension plans, health insurance, and more.

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The SEC is watching advisors’ COVID-19 response

A pandemic isn't an excuse for advisors to relax compliance — in fact, the pressure is greater.

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In response to the COVID-19 pandemic and disruption in the financial markets, the Securities and Exchange Commission has been monitoring the asset management industry and providing guidance to investment advisors. Although much of this initial effort has focused on regulatory challenges, expect the SEC examination and enforcement functions to scrutinize investment advisors in the years to come.

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