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Analysis

SEC Initiative A More Efficient Fix For Adviser Conflicts

By Dunstan Prial (February 13, 2018, 10:19 PM EST) -- A U.S. Securities and Exchange Commission program offering to waive financial penalties against investment advisers who self-report cases where they sold higher-priced funds to collect bigger fees could streamline efforts to clean up the industry and return money to overcharged clients, legal experts said Tuesday....

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