The Securities and Exchange Commission today charged the trustees of two “turnkey” mutual fund trusts with causing untrue or misleading disclosures about their review of the funds’ advisory contracts. The Commission also...more
- Chief Compliance Officers Compliance Duty to Disclose Sanctions SEC Trustees
In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will aggressively pursue market misconduct. The January 11, 2013 report follows closely on...more
- Broker-Dealer Compliance Cybersecurity FINRA Investment Adviser Investors
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