Matthew Williams

Perkins Coie

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As Pandemic Lingers, SEC Has Not Forgotten about Advisers’ Share Class Selection and Compensation Practices

In our October 2019 update, we discussed how the staff of the U.S. Securities and Exchange Commission (SEC) has remained sharply focused in recent years on the conflicts of interest related to investment advisers’ selection...more

8/23/2020 / Anti-Fraud Provisions , Broker-Dealer , Compliance , Disgorgement , Fiduciary Duty , Investment Adviser , Investment Advisers Act of 1940 , OCIE , Prejudgment Interest , Securities and Exchange Commission (SEC)

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Matthew Williams

Perkins Coie

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Latest Posts › Disgorgement

As Pandemic Lingers, SEC Has Not Forgotten about Advisers’ Share Class Selection and Compensation Practices

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