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The weekly news source for investment management legal and compliance professionals

News June 22, 2015 Issue

Fees and Expenses: What Examiners Want to Know

Do what you say, and say what you do. Securities regulations have been described as a disclosure regime. As long as a firm discloses to clients what it plans to do with their investments and does so in a way that will be read and understood by a reasonable person the firm in many instances can rest easy that it is not breaking its fiduciary duty to those clients.

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