{"id":631,"date":"2015-10-23T09:36:23","date_gmt":"2015-10-23T13:36:23","guid":{"rendered":"http:\/\/www.torrid-tech.com\/community\/?p=631"},"modified":"2015-10-22T15:49:09","modified_gmt":"2015-10-22T19:49:09","slug":"will-a-financial-advisors-client-portals-cause-sec-fines","status":"publish","type":"post","link":"http:\/\/www.torrid-tech.com\/community\/index.php\/will-a-financial-advisors-client-portals-cause-sec-fines\/","title":{"rendered":"Will a financial advisor’s Client Portals cause SEC fines?"},"content":{"rendered":"

Hey Financial Advisors,<\/p>\n

BLOCKBUSTER article… SEC is examining cases in which clients give advisers usernames and passwords to accounts they are not the custodian of… SEC is considering fines due to worry over “Madoff” like situations where the client’s accounts are plundered by the advisor.<\/p>\n

Does this mean that client portals and “aggregation” is now a problem that may cause fines from the SEC?<\/strong><\/p>\n

Read this article for yourself and see what your take is on this issue.<\/p>\n

http:\/\/www.investmentnews.com\/article\/20151022\/FREE\/151029953\/sec-cracks-down-on-advisers-access-to-clients-outside-accounts?NLID=daily&NL_issueDate=20151022&utm_source=Daily-20151022&utm_medium=email&utm_campaign=investmentnews&utm_term=text<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

Hey Financial Advisors, BLOCKBUSTER article… SEC is examining cases in which clients give advisers usernames and passwords to accounts they are not the custodian of… SEC is considering fines due to worry over “Madoff” like situations where the client’s accounts are plundered by the advisor. Does this mean that client portals and “aggregation” is now […]<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[56],"tags":[],"_links":{"self":[{"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/posts\/631"}],"collection":[{"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/comments?post=631"}],"version-history":[{"count":3,"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/posts\/631\/revisions"}],"predecessor-version":[{"id":634,"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/posts\/631\/revisions\/634"}],"wp:attachment":[{"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/media?parent=631"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/categories?post=631"},{"taxonomy":"post_tag","embeddable":true,"href":"http:\/\/www.torrid-tech.com\/community\/index.php\/wp-json\/wp\/v2\/tags?post=631"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}