A dual registrant settled SEC allegations for charging advisory clients undisclosed or misstated fees on foreign exchange account transfers.
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A dually registered investment adviser and broker-dealer was penalized for failing to adequately and periodically review wrap fee accounts to identify instances of "reverse churning."
An investment adviser settled SEC charges for wrap fee account review and disclosure failures.
In a Risk Alert, the SEC Division of Examinations identified common compliance deficiencies related to supervision, disclosure, billing and calculation of advisory fees.
The SEC Division of Examinations identified compliance deficiencies by investment advisers that provide digital investment advisory services.