Tag: procedures

The standards by which issuers or market professionals are governed are critical. Those standards guide the dealings of investment advisers, for example, entrusted by clients with their capital. It is for this reason that many of the Commission’s enforcement actions …

SEC Sanctions CFO For Breach of Firm’s RPT Procedures Read More »

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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 …

SEC Sanctions UBS Re Sales Practices Read More »

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