Month: February 2018

The SEC’s Division of Enforcement announced a new cooperation initiative addressed to investment advisers who have failed to disclose conflicts arising from the receipt of 12b-1 fees from mutual funds. In essence, the initiative offers advisers who failed to make …

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The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published its National Exam Program Examination Priorities (here). This year’s publication comes in the form of a brochure, much like the one issued by the Division of Enforcement in November 2017, …

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