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Fees and Expenses

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The issues stemmed from failing to disclose conflicts in the firm's variable annuity and cash sweep money market fund selection practices, and making recommendations that ...
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This is a fundamental violation of an investment advisers’ fiduciary duty to act in the best interest of its clients, according to the judge
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March proved to be a tough month for the SEC in two federal courts. One judge accused the Commission of “gross misconduct” and, in a ...
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Both of these agreements created conflicts of interest, because they created an incentive for 3D/L to use funds managed by the ETF Manager in 3D/L’s ...
'We want this to be something where the industry can... come up with solutions...'
Igor Rozenblit
'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'
Case comes less than a month after SEC doubles down on accelerated monitoring fees
Employee giving folder to his manager during interview
A divided Commission voted Oct. 2 to amend portfolio thresholds and to make other proposed changes that would require CPOs/CTAs to disclose risks, conflicts, their ...
Human hands exchanging money - closeup shot
The Monitoring Agreement did not contain a provision authorizing AIM to accelerate future monitoring fees from the Portfolio Company for the entire contract period if ...
SEC enforcement action underscores the need for firms growing their business through acquisition to watch client protection
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