SEC keeps its 'safe harbour'


The guidance, released in late October, brings to an end months of uncertainty in the marketplace about whether soft dollars would continue to be used as the primary currency for purchasing investment research and brokerage services.

The guidance reiterates that research and brokerage services must be used to obtain the best execution of clients’ transactions and are not for the benefit of the money manager, who receives these services in exchange for directing a portion of its clients’ brokerage

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