Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Fees (79)
Your search for Fees returned 79 results.
Sorted by Date

10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
8/02/2018 | Content area: Investment Adviser
The August 7 deadline for comments on the trio of SEC fiduciary duty-related proposals (IA Watch, April 18, 2018) is fast closing in and SEC Commissio...
7/05/2018 | Content area: Private Fund
It is an oft-repeated refrain at industry conferences and in regulators’ speeches: fees and expenses of private equity fund advisers are a definite fo...
6/28/2018 | Content area: Broker-Dealer
The 2011 integration of Wells Fargo and Wachovia triggered the adoption of a number of written compliance policies. One such policy prohibited Wells F...
5/10/2018 | Content area: Investment Adviser
You need look no farther than OCIE’s latest risk alert to recognize that what and how you charge your clients remains high on your regulator’s list (I...
5/10/2018 | Content area: Investment Adviser
The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report sna...
4/12/2018 | Content area: Investment Adviser
The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies.   “Advisers should review their practices, ...
1/03/2018 | Content area: Broker-Dealer
Bassily participated in a fraudulent scheme to conceal from transition management customers of CES the routine practice of routing their orders for th...
8/24/2017 | Content area: Investment Adviser
It’s nice to have choices. One is to calculate your client fees off of the trade or settlement date.   Which one should you select?   “We have had tha...
8/03/2017 | Content area: Broker-Dealer
The SEC’s ReTIRE initiative and the work of the Commission’s broker-dealer task force is continuing to bear fruit—this time in the form of another enf...
6/01/2017 | Content area: Investment Adviser
Charging your clients additional fees for no additional services is sure to garner scrutiny from the SEC. The Connecticut-based Momentum Investment Pa...
5/26/2017 | Content area: Investment Adviser
Avatar and Fernandes failed to disclose material conflicts of interest in connection with investments Avatar made in new mutual funds that it created ...
5/11/2017 | Content area: Broker-Dealer
NASAA’s model fee disclosure schedule is gaining wider acceptance among brokerage firms. The association announced May 9 that nine additional securiti...
1/26/2017 | Content area: Investment Adviser
Senator Elizabeth Warren (D-Mass.) wants to know where firms having already implemented significant changes to comply with the looming DOL rule stand ...
1/13/2017 | Content area: Investment Adviser | Broker-Dealer
From 2009 through 2015, for 15,152 advisory client accounts, MSSB inadvertently charged advisory fees in excess of what had been disclosed to, and agr...
1/12/2017 | Content area: Investment Adviser
The former president and CEO of a Connecticut-based dual registrant and his lawyer friend of over 25 years have settled SEC charges of fraudulently sc...
12/20/2016 | Content area: Investment Adviser
You represent that as part of that process, the Board of each Investing Fund will consider, among other things, the calculation of the New Fees along ...
12/07/2016 | Content area: Investment Adviser
The Fund Manager failed to adequately disclose the prepayment of $5.8 million of transaction fees. In quarterly reports, Board and Investment Committe...
11/03/2016 | Content area: Investment Adviser
Talk about compounding your problems. When an investment adviser principal was confronted by a client who noticed a lower account balance than they an...
10/27/2016 | Content area: Investment Adviser
The SEC's complaint alleges that Marc D. Broidy and his firm Broidy Wealth Advisors obtained more than $1.4 million in ill-gotten gains since February...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US