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SEC Investor Advocate Fleming targets fees charged by advisers

July 6, 2016

 

 


SEC Investor Advocate Fleming targets fees charged by advisers

Rick Fleming will push the Securities and Exchange Commission to follow through on its review of how brokers and investment advisers disclose their fees to clients

Jul 1, 2016 @ 12:02 pm | By Tanvi Acharya | Investment News

To SEC investor advocate Rick A. Fleming, improved disclosure of fees and expenses charged by financial advisers is a top priority in the new fiscal year, which begins in October.

Mr. Fleming will push the Securities and Exchange Commission to follow through on its review of how brokers and investment advisers disclose their fees to clients. The scrutiny is part of a larger focus on better disclosures and will also include mutual funds, exchange-traded funds and other investment vehicles.

Mr. Fleming’s office plans to be actively involved in testing the effectiveness of various types of disclosures on real-life investors.

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February 3, 2016

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