In a Guidance Update published on December 15, 2016, the staff of the U.S. Securities and Exchange Commission’s (SEC) Division of Investment Management (Staff) articulated its views as to certain disclosure issues and...more
12/23/2016
/ Department of Labor (DOL) ,
Disclosure Requirements ,
Fee Disclosure ,
Fiduciary Rule ,
Guidance Update ,
Investment Company Act of 1940 ,
Investment Funds ,
Investment Management ,
Mutual Funds ,
New Guidance ,
Sales Load Variations ,
Securities and Exchange Commission (SEC) ,
Share Class Structures
Mutual fund sales and distribution arrangements are once again under review. It has been reported that fund intermediaries are re-examining their practices relating to sales charges, share class structures and product...more
10/26/2016
/ Department of Labor (DOL) ,
Enforcement Actions ,
Fiduciary Rule ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Intermediaries ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Mutual Funds ,
Securities and Exchange Commission (SEC) ,
Service Charges