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Mutual Funds: Fees (27)
Your search for Mutual Funds: Fees returned 27 results.
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9/14/2018 | Content area: Investment Adviser
CA failed to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and the rule...
5/02/2018 | Content area: Investment Adviser
If your firm endured an OCIE exam that raised questions about whether clients received the lowest cost mutual fund share class, you can still qualify ...
4/19/2018 | Content area: Broker-Dealer
Remember that carrot FINRA dangled for self-reporting mutual fund sales over-charges? Some of your peers apparently didn’t. They got the stick.   FINR...
2/28/2018 | Content area: Investment Adviser | Broker-Dealer
Ameriprise did so without disclosing that it would receive greater compensation from the Eligible Customers’ purchases of the more expensive share cla...
2/22/2018 | Content area: Investment Adviser
Now that you have four months to decide whether to take advantage of the SEC’s offer to self-report share class violations, don’t dally (IA Watch, Feb...
2/12/2018 | Content area: Investment Adviser
For years the SEC has announced enforcement cases fining advisers for putting clients in higher fee mutual fund share classes without adequately discl...
2/12/2018 | Content area: Investment Adviser
This is the 3-page questionnaire released in February 2018 by the SEC for its new Share Class Selection Disclosure Initiative. This must be filed with...
10/27/2017 | Content area: Investment Adviser
In making those recommendations of more expensive share classes while omitting material facts, UBS violated Sections 17(a)(2) and 17(a)(3) of the Secu...
8/03/2017 | Content area: Investment Adviser
A year after OCIE released a risk alert warning it would look at share class allocations, another adviser faces a multi-million dollar penalty for fai...
5/01/2017 | Content area: Investment Adviser
William Blair negligently used mutual fund assets to pay for (i) distribution and marketing of fund shares outside of a written, board-approved Rule 1...
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...
7/13/2016 | Content area: Investment Adviser
If your firm receives revenue from the sale of mutual funds, be sure you have compliance P&Ps designed to avoid placing clients in a more expensive sh...
7/07/2016 | Content area: Investment Adviser
The latest congressional report by the SEC’s Office of the Investor Advocate states that in FY 2017, which begins in October, the office will look at ...
1/07/2016 | Content area: Investment Adviser
All of that attention in recent years from OCIE on the issue of distribution-in-guise payments by mutual funds has resulted in new guidance from the S...
1/06/2016 | Content area: Investment Adviser
Many of the issues discussed in this guidance were brought into focus by a recent sweep examination of a number of mutual fund complexes, investment a...
9/24/2015 | Content area: Broker-Dealer
The SEC Sept. 21 charged a New York-based investment adviser and its affiliated distributor with improperly using $25 million in mutual fund assets to...
7/07/2015 | Content area: Broker-Dealer
For the discerning compliance professional, SEC enforcement actions are chock full of lessons learned and tripwires to be avoided. In June 2014, summe...
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...
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...


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