United States: The SEC's Division Of Examinations Highlights Increased Concerns With Wrap Fee Programs - Bryan Cave Leighton Paisner LLP

United States: The SEC's Division Of Examinations Highlights Increased Concerns With Wrap Fee Programs - Bryan Cave Leighton Paisner LLP

Mondaq

Published

Given the continued popularity of recommending wrap fee programs to clients, the Securities and Exchange Commission's ("SEC") Division of Examinations ("DOE") recently released a Risk Alert...

Full Article