Sarah Razaq Sallis

Sarah Razaq Sallis

Eversheds Sutherland (US) LLP

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The other shoe has dropped – The SEC follows up with firms that didn’t self-report under the share class initiative

The Share Class Initiative - On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure Initiative (Initiative), which informed SEC...more

12/12/2018  /  Disclosure Requirements , Enforcement , Investment Adviser , Mutual Funds , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Self-Reporting , Share Classes

SEC’s share class selection disclosure initiative: what’s next

On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure Initiative (Initiative) to encourage SEC registered investment advisers...more

2/22/2018  /  Disclosure Requirements , Management Fees , OCIE , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Share Classes
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