Tagged with "fees"

SEC Examiners to Focus on Fee Disclosure Issues

Posted on March 11th, 2019 at 1:45 PM
SEC Examiners to Focus on Fee Disclosure Issues

As continually emphasized by current and former SEC officials this month during the 21st Annual IA Compliance Conference, examiners will continue to review the fees that advisors are charging clients on certain investments, the adequacy of their fee disclosures, and how their investment choices impact investors’ bottom lines.

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