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Increased Scrutiny from State and Local Regulators, Aon Advisor Solutions

Posted May 24, 2019

Spring 2019
By: David Baugh, Co-Managing Partner of the Kaufman Dolowich & Voluck Chicago office, James Yong, and Daniel Hetzel, both KDV partners in Chicago

In this article we discussed the fact that, as the current administration and the federal agencies appear to take a more hands-off approach to the regulation of financial markets and financial services firm, many state and local government entities have felt the need to step in and fill the void.  Our conclusion is that broker-dealers and other financial services firms need to be aware of increased regulatory efforts and scrutiny from state and local securities regulators in an ever-shifting and increasingly complex regulatory landscape. 

Read more at the full article.

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