SEC settles with adviser over failure to consider account aggregation requests in applying fee breakpoint dicounts
Jackson Galloway and Nicole Griffin
| Year of publication: |
2014
|
|---|---|
| Authors: | Galloway, Jackson ; Griffin, Nicole L. |
| Published in: |
The journal of investment compliance. - Bingley : Emerald, ISSN 1528-5812, ZDB-ID 2278191-2. - Vol. 15.2014, 3, p. 32-34
|
| Subject: | USA | Securities and Exchange Commission (SEC) | Investment adviser | Breakpoint discounts | Examination | Advisory fees | United States | Finanzmarktaufsicht | Financial supervision | Wertpapierrecht | Securities law | Anlageberatung | Financial advisors |
| Type of publication: | Article |
|---|---|
| Type of publication (narrower categories): | Aufsatz in Zeitschrift ; Article in journal |
| Language: | English |
| Source: | ECONIS - Online Catalogue of the ZBW |
Persistent link: https://www.econbiz.de/10010428110