Tag: conflicts

The Commission, like all independent regulatory agencies, was created to be apolitical – a difficult task in this day and age. Despite the difficulties, it is essential that the agency continue to maintain that posture even in the face of …

This Week In Securities Litigation (Week of June 22, 2020) Read More »

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The question of whether and how to disclose the payment of 12b-1 and similar fees in connection with the acquisition of mutual fund shares has been at the center of a number of Commission actions. It was the central question …

Failure to Disclose Conflicts Draws Sanctions for Adviser Read More »

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