In a conversation that touched on most of the top-of-mind regulatory issues facing advisers Karen Barr pressed Gary Gensler to recognize the important role advisers play in the lives of their clients and the unintended consequences potentially flowing from the SEC’s departure from its longstanding principles-based approach to adviser regulation.
“Bad information, or a lack of information, can lead to bad regulation, which can result in both unnecessary burdens and missed opportunities.” That’s the key takeaway from SEC Commissioner Caroline Crenshaw’s keynote address at the annual Conference on Financial Market Regulation on May 14.
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