Posts from June 2018.

When the 2018 Exam Priorities were released by the SEC, few were surprised to learn that risk to retail investors (especially seniors and those saving for retirement) would be at the top of the list. With the Baby Boomer...

The SEC recently announced charges against an investment adviser, Premium Point Investments LP, and accused the adviser of engaging in intentional fraud - you can read the SEC's litigation release and find its Complaint containing the charges here. The SEC...

With the issue of investment advisers putting their clients into higher-fee share classes when a low-cost option is available continuing to be a problem - and the subsequent Share Class Selection Disclosure Initiative developed to combat the problem on a...

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