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SEC Settles Charges Against Investment Advisers for Alleged Breaches of Fiduciary Duties | Seward & Kissel LLP

Who may be interested: Registered Investment Advisers, Mutual Funds, Compliance Officers - Quick Take: The SEC settled charges against two affiliated registered. ....

Seward Kissel , Registered Investment Advisers , Mutual Funds , Advisers Act , Share Class Selection Disclosure , Share Class Selection Disclosure Initiative ,

Orion Launches Compliance Technology Tool | Wealth Management

The newly-released tool seeks to automate processes, including share class monitoring. ....

United States , Louis Giannini , Exchange Commission , Javelin Strategy Research , Share Class Selection Disclosure Initiative , Orion National Ascent , Orion Advisor Solutions , Client Oversight , Orion Compliance , National Ascent , Kylee Beach , Class Selection Disclosure Initiative , Share Class Alerts , Pre Trade Compliance , Ownership Alerts , Large Trader Alerts , Javelin Strategy , Basiscode Compliance ,

RIA CapWealth Wins Legal Battle With SEC Over 12b-1 Disclosures

CapWealth went up against an SEC staff of eight attorneys, jury experts and two paralegals, and won a rare victory related to share class disclosure conflicts. ....

United States , Tim Pagliara , Exchange Commission , Wealth Advisors , Middle District , Investment Advisers Act , Share Class Selection Disclosure Initiative , Ambassador Advisors ,

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United States , Bernie Bostwick , John Gallagher , Exchange Commission , Financial Services Institute , Share Class Selection Disclosure Initiative , Lancaster Based Ambassador Advisors , Judge John Gallagher ,

The Convergence Continues: SEC Staff Bulletin on Standards of Conduct for B-Ds and RIAs | Faegre Drinker Biddle & Reath LLP

On March 30, 2022, the SEC issued “Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Account Recommendations for Retail Investors” (SEC Retail Standards. ....

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