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The weekly news source for investment management legal and compliance professionals

News April 17, 2017 Issue

SEC Catches a Big Fish in Its 12b-1 Fee Dragnet

The SEC shows no sign of letting up in its scrutiny of investment advisory firms that place clients in more expensive share classes when less expensive class shares of the same securities are available. It reached a settlement with a small, financially troubled adviser last month, and early this month settled charges with a large financial institution, Credit Suisse, and one of its investment adviser representatives.

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