Megan Farooqui

Megan Farooqui

Faegre Drinker Biddle & Reath LLP

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Wrap Fee Programs Under Continued Scrutiny and Use of Investment Advisory Product Committees

Further to the Securities and Exchange Commission (“SEC” or the “Commission”)’s ongoing review of investment advisers offering wrap fee programs, on December 23, 2020, the Commission announced a settlement with Pruco...more

1/21/2021  /  Broker-Dealer , Disclosure Requirements , Fiduciary Duty , Investment Adviser , Investment Advisers Act of 1940 , Securities and Exchange Commission (SEC) , Securities Violations
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