Tag: Rule 12b-1
Best Execution | Conflicts of Interest | Mutual Funds
Why the SEC is Obsessed with Mutual Fund Share Class Selection and Disclosure (and why you should be too)
On April 6, 2018, the SEC released three settlement orders with investment advisers because they “failed to disclose conflicts of interest and violated their duty to seek best execution by…
Investment Company Act
SEC Guidance on Mutual Fund Distribution and Sub-Accounting Fees
By: Samuel Pangas, Compliance Associate January 25, 2016 As a result of recent sweep examinations, the SEC Division of Investment Management has released guidance relating to the mischaracterization of mutual…