Month: September 2017

The Commission has brought a series of enforcement actions against investment advisers centered on fees. In a number of instances the issue was whether the clients were put into programs where the fees charged were the most advantageous for the …

FINRA Fines Morgan Stanley For Supervision Failures Read More »

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Undisclosed conflicts of interest have been a key focus of OCIE exams of investment advisers. Those undisclosed conflicts have resulted in a series of enforcement actions against advisers. The Commission’s most recent case involving an adviser who failed to disclose …

Legal Advice Not Enough for Adviser to Avoid SEC Sanctions Read More »

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