Tag: investment advisers

SEC Sanctions Adviser For Failing To Identify Role in Transactions

Actions involving investment advisers are rapidly becoming a staple of SEC Enforcement. Many of those actions center on undisclosed conflicts such as the share class selection cases where the adviser elects to put clients into higher priced mutual fund shares

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SEC Continues to Focus on Investment Advisers

The retail investor focus of the Commission’s Enforcement Program is generating increasing numbers of actions involving investment advisers. While the number of these actions was increasing prior to the time Chairman Clayton assumed office, the trend in not only continuing

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