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The weekly news source for investment management legal and compliance professionals

News October 2, 2017 Issue

12b-1 Fees: SEC Settles Share Class Charges with Two More Advisers

If you think the SEC only occasionally charges advisers for placing clients in expensive share classes when less expensive classes are available, recent events should change your mind. The agency reached settlements with two advisory firms involving share classes just last month, and those followed up on still other settlements and developments earlier this year and the year before.

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