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Ohio-based Wealthquest said it hoped to use the loan to retain its staff and fund payroll costs and health and insurance benefits for employees, according to an updated Form ADV submitted to the SEC.
The increased demands placed on chief compliance officers in a volatile market are creating regulatory risks that threaten to 'trickle up' to executives and boards.
Initially, most enforcement actions will pertain to infractions the agency would have pursued under the suitability standards regardless, according to FINRA's head of enforcement.
