Jonathan Forman Comments on SEC Enforcement of Share Class Disclosures

News / May 10, 2018

Counsel Jonathan Forman is quoted in an article published May 4, 2018, by Ignites. The article, “SEC Exam Office: ‘Expect Tough Questions’ on Share Classes,” reports on comments made by an SEC official about potential issues in the selection of mutual fund share classes by investment advisors. Forman noted that the SEC’s enforcement initiative seeks to “clarify what disclosures the advisors should be making to clients in their Form ADV and other investor materials.”

Read the article (registration required).