IAA Today Archive

Peirce and Uyeda Dissent on Best Ex Violations

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March 09, 2023

Keywords: Best Execution, SEC Enforcement, Share Class Disclosure

Categories & Topics: Compliance, Enforcement

Adviser Wins Jury Trial on Share Class Disclosure Charges

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November 11, 2022

Keywords: SEC Enforcement, Share Class Disclosure

Categories & Topics: Compliance, Enforcement

Recent SEC Share Class Case Focuses on Wrap Fee Program

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July 29, 2022

Keywords: SEC Enforcement, Share Class Disclosure, Wrap Fees

Categories & Topics: Compliance, Conflicts, Enforcement, Wrap Fee

SEC Brings Share Class Selection Enforcement Action Involving Wrap Fee Accounts

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May 13, 2022

Keywords: Conflicts, SEC Enforcement, Share Class Disclosure

Categories & Topics: Compliance, Conflicts, Enforcement

SEC Fines Adviser for Breach of Fiduciary Duty

The SEC has settled charges against a registered investment adviser for breach of fiduciary duty to clients for failures regarding conflicts disclosure, best execution, and duty of care.

March 07, 2022

Keywords: Fiduciary, Revenue Sharing, SEC Enforcement, Share Class Disclosure

Adviser Charged with Investing Client Assets in More Expensive Share Classes to Avoid Paying Transaction Fees

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October 06, 2021

Keywords: Conflicts of Interest, SEC Enforcement, Share Class Disclosure, Wrap Fees

Categories & Topics: Business Ops/HR, Compliance, Conflicts, Enforcement, Wrap Fee

New SEC Share Class Disclosure Cases Involve Wrap Fee Programs, Expense-Sharing Agreement

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September 03, 2021

Keywords: Conflicts, SEC Enforcement, Share Class Disclosure

Categories & Topics: Compliance, Conflicts, Enforcement

SEC Adds Lack of Disclosure of Margin Interest Mark-Ups to Share Class-Related Violations

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August 04, 2021

Keywords: Conflicts of Interest, Disclosure, SEC Enforcement, Share Class Disclosure

Categories & Topics: Compliance, Conflicts, Enforcement