Best Execution

One test to help you assess whether clients are being treated fairly is to examine performance dispersion. Run a report on performance of all client ...

This adviser settled a case about undisclosed compensation and a failure to seek best execution. The SEC says the adviser transacted through his wife, a ...

The SEC's latest message via best execution enforcement drills a dually-registered firm with fines and penalties in excess of $1 million for purchasing fund shares ...

This firm settled with the SEC for violations having to do with charging avoidable 12b-1 fees and for not seeking best execution.

You seldom see the SEC pressing enforcement actions against advisers for best execution violations yet two such cases just popped up (IA Watch, Aug. 5, ...

The argument that a CEO shouldn't also be a firm's CCO got a lot stronger as the SEC has mandated that a specific adviser must ...

This dually-registered investment adviser and broker-dealer failed to seek best execution in breach of its fiduciary duty under the Advisers Act and also neglected to ...

This firm settled with the SEC over allegations of a poor compliance shop and disclosure and best execution violations.

A fiduciary faces a responsibility to be aware of conflicts of interest and to deal with them and perhaps no situation creates one more than ...