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Compliance Lessons We Can Learn from an ETF Enforcement Case

Compliance Lessons We Can Learn from an ETF Enforcement Case

Compliance Lessons We Can Learn from an ETF Enforcement Case

The recent SEC enforcement action against Van Eck Associates Corporation (VEAC) offers several valuable compliance lessons for registered...

Coulter Strategic Services

Jun 11, 20244 min read

Advisory Agreements/Mergers & Acquistitions

Advisory Agreements/Mergers & Acquistitions

Advisory Agreements/Mergers & Acquistitions

Coulter Strategic Services teams up with BrightStar Law Group for an in-depth session on Advisory Agreements and Mergers and...

Coulter Strategic Services

Jun 3, 20241 min read

Marketing within Compliance - Marketing For Advisors

Marketing within Compliance - Marketing For Advisors

Marketing within Compliance - Marketing For Advisors

Join SBMC Consulting and Coulter Strategic Services for an insightful session featuring a compliance professional and a marketing expert...

Coulter Strategic Services

May 28, 20242 min read

Mutual Fund Share Classes: Don't Forget to Review for Proper Share Classes as an Advisor

Mutual Fund Share Classes: Don't Forget to Review for Proper Share Classes as an Advisor

Mutual Fund Share Classes: Don't Forget to Review for Proper Share Classes as an Advisor

Introduction Mutual fund share classes have distinct characteristics that directly impact investment returns through varying fees and...

Coulter Strategic Services

May 20, 20246 min read

Disclaimer: The information provided is for educational purposes and shall not be construed as specific advice. The information does not reflect the views of any regulatory body, State or Federal Agency, or Association. All efforts have been made to report true and accurate information. However, the information could become materially inaccurate without warning. Not all information from third-party sources can be thoroughly vetted. Coulter Strategic Services does NOT provide a legal opinion or legal recommendations.

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