Month: August 2017

Undisclosed conflicts, fees and overcharges have become a recurring theme in Commission cases involving investment advisers. Frequently these cases arise out of inspections by OCIE. See, e.g., In the Matter of Credit Suisse Securities U.S.A), LLC, Adm. Proc. File No. …

Undisclosed Fees, Conflicts Yield SEC Sanctions for Adviser Read More »

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