Create a one-page summary outlining the terms of a soft dollars’ arrangement, including confirmation that the deal fits within the 28(e) safe harbor and have ...
The topic of soft dollars has lost some of its luster among examiners but enforcement actions continue to emerge from the agency. Expenses, however, remain ...
An Excel file courtesy of Karen Huey of Professional Compliance Assistance in Woodstock, Ga. The worksheets within this Excel file are designed to help you ...
In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife based ...
While the Knowledge Leaders Management Committee approved the CIO’s company as a soft dollar recipient and approved the payments made to the CIO’s company for ...