Tagged with "managed asset allocation program"

BMO Advisory Firms Pay Over $37 Million for Violating SEC's Conflict of Interest Rules

Posted on September 30th, 2019 at 3:34 PM
BMO Advisory Firms Pay Over $37 Million for Violating SEC's Conflict of Interest Rules

Two BMO advisers have agreed to pay over $37 million to settle the Securities and Exchange Commission's ("SEC") charges that they violated conflict-of-interest rules and their fiduciary duties by selecting higher-cost investments that benefited the bank without informing clients. 

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