In our October 2019 update, we discussed how the staff of the U.S. Securities and Exchange Commission (SEC) has remained sharply focused in recent years on the conflicts of interest related to investment advisers’ selection...more
Over the past several years, U.S. Securities and Exchange Commission (SEC) enforcement activity has eroded the stability of the once-standard lineup of share classes available to mutual fund investors. Starting with...more
10/24/2019
/ 12b-1 plan ,
Best Practices ,
Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Fiduciary Duty ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Mutual Funds ,
OCIE ,
Proposed Rules ,
Revenue Sharing ,
Securities and Exchange Commission (SEC) ,
Share Classes