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03-12-15

Fixed Income Part One - Fee Selection and Reverse Churning

At the beginning of 2015, the U.S. Securities and Exchange Commission (SEC) announced that fee selection and reverse churning will be examination priorities this year. Although the SEC did not expressly mention fee selection and reverse churning among its 2014 priorities, it had mentioned that an examination priority would be whether advisors fulfilled their fiduciary and contractual obligations in wrap fee accounts. Such obligations include fee selection and reverse churning.

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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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