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Capital Markets

23 April 2019
Kelley Howes SEC announces settlements resulting from Share Class Selection Disclosure Initiative

USA - Morrison & Foerster LLP

The Securities and Exchange Commission (SEC) recently announced settlements with 79 investment advisers who self-reported violations of the Investment Advisers Act in connection with the SEC Division of Enforcement Share Class Selection Disclosure Initiative. The advisers collectively agreed to return more than $125 million in fees and prejudgment interest to clients.

Author: Kelley Howes
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