Posts in Regulatory Examinations.

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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