Our Distribution Oversight Whitepaper is a thought piece authored by Whitfield Athey, CEO and Burton Keller, EVP, of Delta Data, that illustrates core principles to consider when designing, evaluating or upgrading an oversight program.
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In case you missed this article in today’s issue of Ignites. Looks like what they examined in the “Distribution in Guise” sweep will be covered now in regular exams of funds. This should take it down stream to some of the smaller funds as the sweep probably just hit the big fund companies. Read more