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securities and exchange commission Archives

Wrap Fee Programs in 2018 - Is Your Firm Prepared for SEC Scrutiny?

wrap fee programsThe 2018 SEC Exam Priorities once again listed wrap fee programs as one of their areas of focus this year. This is not unexpected, as the continued push by the SEC to protect retail investors (and the subset of senior/retiring investors) often revolves around the issue of fees. Often times, the SEC looks at how the obfuscation of how fees affect the performance of investments - and the confusion for investors trying to understand these fees is not acceptable.

Protection of Aging Investors and Retail Investors a Continued Theme for SEC in 2018

protecting aging investorsWhen the SEC released its list of exam priorities for 2018, no one was surprised to learn that one of last year's themes concerning the protection of retail investors (and by extension, aging investors) continues into 2018. To quote the recently released document:

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