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Mutual Fund Fees (17)
Your search for Mutual Fund Fees returned 17 results.
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4/12/2018 | Content area: Investment Adviser
The window period to take advantage of the SEC’s Share Class Selections Disclosure Initiative is fast drawing to a close with its attendant June 12 de...
9/21/2017 | Content area: Investment Adviser
SunTrust Investment Services knew it was just a matter of time before an SEC enforcement penalty would be handed down. In mid-2015, during a complianc...
4/13/2017 | Content area: Investment Adviser
Sandy Katz is considered an “all-star” rep. So when a manager questioned why he wasn’t putting clients into cheaper mutual fund share classes, he “esc...
4/04/2017 | Content area: Investment Adviser
These proceedings arise out of breaches of fiduciary duty, inadequate disclosures, and deficiencies in compliance policies and procedures by Credit Su...
8/02/2016 | Content area: Investment Adviser
Alison, who repeatedly failed to produce to the Commission’s examination staff required books and records, in violation of the federal securities laws...
7/21/2016 | Content area: Investment Adviser
The road appears to be ending for an ERISA lawsuit that claimed Fidelity violated its fiduciary status by using float income created through plan tran...
7/13/2016 | Content area: Investment Adviser
OCIE is seeking to identify conflicts of interest tied to advisers’ compensation or financial incentives for recommending mutual fund and 529 Plan sha...
5/12/2016 | Content area: Broker-Dealer
Another broker-dealer has been sanctioned for failing to waive mutual fund sales charges for eligible charitable organizations and retirement accounts...
1/14/2016 | Content area: Investment Adviser
Receipt of 12b-1 fees not only created a conflict of interest that was not adequately disclosed to EFG’s clients, but favoring 12b-1 funds over others...
7/28/2014 | Content area: Investment Adviser
This month, the Investment Company Institute released its annual look at 401(k) fees, finding that the downward trend begun this century continues. Th...
4/28/2014 | Content area: Investment Adviser
It may come from another century but that 1998 guidance from the SEC on distribution payments should ring like a new bell for you. OCIE's concerned ad...
2/24/2014 | Content area: Investment Adviser
The way mutual funds are sold has changed greatly since the SEC issued its fund supermarket "no-action letter" in 1998. Then OCIE promised to "closely...
7/26/2010 | Content area: Investment Adviser
Rather than fixing mutual fund fees around the edges, SEC commissioners appear intent on creating new Investment Company Act rule 12b-2, which would s...
1/11/2010 | Content area: Investment Adviser
California always has to be first. A federal judge there Dec. 28 issued an opinion in a lawsuit that claimed a mutual fund violated its fiduciary duty...
4/27/2009 | Content area: Investment Adviser
Board directors "need to always be vigilant" and question investment advisers about fees and actions that could run counter to investors' interests, s...
3/02/2009 | Content area: Investment Adviser
As if the current financial picture didn't look bleak enough, the road ahead for baby boomers may be paved with poverty.That was one message emerging ...
5/10/2004 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26375A; File No. S7-11-04] RIN 3235-AJ17Mandatory Redemption Fees for Redeemable Fun...


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