Paul Delligatti

Paul Delligatti

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SEC Publishes Guidance on Mutual Fund Distribution and Sub-Accounting Fees

On January 6, 2016, the staff (the “Staff”) of the SEC’s Division of Investment Management published guidance (the “Guidance”) containing the Staff’s views and recommendations relating to mutual fund distribution and...more

1/14/2016  /  12b-1 plan , Conflicts of Interest , Division of Investment Management , Mutual Funds , New Guidance , OCIE , Popular , Securities and Exchange Commission (SEC)
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