Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...
"There is no legal authority cited in the Commission Order for the finding that mutual fund share class selection implicates an investment adviser’s duty to ...
Throughout its history, Ensign Peak was required to file Forms 13F identifying and providing certain information about the Section 13(f) Securities that it managed for ...