Last week the co-director of SEC Enforcement discussed the Retail Strategy Task Force which will focus on the protection of retail investors. This week the Commission announced a case involving the intrusion into at least 110 retail accounts by stock…
Month: October 2017
SEC Sanctions UBS Re Sales Practices
The Commission has brought a series of cases involving investment advisers, broker-dealers and the fees charges to clients. Typically the clients are disadvantaged by not being informed about or given the opportunity to purchase mutual fund shares at the most…
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