Tag: procedures

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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It is axiomatic that investment advisers are required to the follow dictates of firm operating documents, internal procedures and disclosed policies and procedures. OCIE, when conducting inspections, focuses on such issues. The SEC has brought a series of cases centered …

SEC Sanctions Adviser For Failing To Follow Its Procedures Read More »

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