NewsIgnites: Sub-TA Sweep Gives Fund Shops a Bargaining Chip

October 15, 20150

By Peter Ortiz October 15, 2015 – The first enforcement case to come from the Securities and Exchange Commission’s longstanding investigation into fees paid by fund shops to intermediaries did little to clarify the murky line between what the regulator might consider to be shareholder servicing and what qualifies as marketing activities.

Delta Data Staff

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