Kelley A. Howes

Kelley A. Howes

Morrison & Foerster LLP

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OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers

In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more

2/25/2013 - Broker-Dealer Conflicts of Interest Corporate Governance Enterprise Risks Fund Distribution Investment Adviser NEP OCIE Revenue Sharing Risk Management SEC

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