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The SEC's Division of Enforcement issued answers to frequently asked questions (FAQs) on its Share Class Selection Disclosure Initiative, providing additional information about adviser eligibility....
The SEC's Division of Enforcement issued answers to
frequently asked questions (FAQs) on its Share Class Selection Disclosure Initiative,
providing additional information about adviser eligibility,
disgorgement and the distribution of funds to clients. The
initiative was announced in February with the goal of protecting
advisory clients from and returning money to those affected by
undisclosed conflicts of interest.
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