Stephen Cook co-authored article, “Why Advisors Can Expect Uptick in Exams and Enforcement Actions,” for Financial Advisor Magazine. Their article focuses on why financial crises initiate government financial investigations. The increased regulatory scrutiny following the 2008 financial crises was on full display, and the Covid-19 pandemic will be no different.
Read the full Financial Advisor Magazine article here.
/Passle/62189924f636e915f48daeda/SearchServiceImages/2024-12-18-15-37-45-051-6762ec49664f91485530fe1f.jpg)
/Passle/62189924f636e915f48daeda/SearchServiceImages/2024-12-17-16-19-59-058-6761a4af5e19b3282e8d5314.jpg)
/Passle/62189924f636e915f48daeda/SearchServiceImages/2024-12-12-18-57-16-342-675b320c8116f6a82b02ce62.jpg)
/Passle/62189924f636e915f48daeda/SearchServiceImages/2024-12-12-17-18-32-234-675b1ae88116f6a82b02a43b.jpg)
/Passle/62189924f636e915f48daeda/SearchServiceImages/2024-12-10-22-24-13-633-6758bf8d9c500ef18a11ca07.jpg)