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The SEC’s Division of Enforcement will recommend that those scores of firms that have self-disclosed violations of the 1940 Act will not be subject to civil penalties, but will be required to return investment losses that resulted in costlier fund recommendations to affected investors. (Photo: Diego Radzinschi/ALM)Recommended Stories
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The sweet spot is the point when everything combines to give you the best result. Discover how you can achieve this for your clients’ employee benefits offerings.
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