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The Securities and Exchange Commission’s exam division has found mutual funds and exchange-traded funds have provided flawed or missing disclosures to investors around matters like fees, investment strategies and fund performance, the agency warned Tuesday.
The disclosures were made in fund filings, advertisements, sales literature and other shareholder communications.
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Melanie is Washington Bureau Chief, Investment Advisory Group. She also covers regulatory and compliance issues. Her column, The Playing Field, appears in Investment Advisor and on ThinkAdvisor.com, and she also writes the briefing and produces the podcast, Human Capital. Earlier in her career, Melanie covered financial issues at American Banker/Thomson Media publications in Washington and New York. She also wrote freelance articles for Institutional Investor in New York. You can reach her at [email protected] On twitter: @Think_MelanieW
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