Don’t miss this Webinar on Tuesday,
February 27 at 4:00 pm EST
The SEC’s recently announced share class initiative is a dramatic new step in the SEC’s ongoing scrutiny regarding recommendations of mutual funds by registered investment advisers. Firms will want to consider whether they are eligible and wish to take advantage of the Initiative and self-report violations.
This webinar will provide some practical considerations and discuss:
- Enforcement actions involving Rule 12b-1 fees and share class selection
- Steps to take
- Collateral consequences