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Fees (90)
Your search for Fees returned 90 results.
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7/18/2019 | Content area: Investment Adviser
As fee structures grow more complicated, so must your oversight.   Controls at many firms “are not keeping up with the complexity of fees that are bei...
7/18/2019 | Content area: Private Fund
SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets Litigation Release No. 24539 / July 18, 2019 U. S. Securities...
7/11/2019 | Content area: Investment Adviser
With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients m...
5/30/2019 | Content area: Investment Adviser
Stephen Brandon Anderson obviously didn’t display a flair for the chief compliance officer role. That’s why a new settlement in an SEC enforcement act...
5/28/2019 | Content area: Investment Adviser
In September 2012, Anderson sent a letter notifying clients that River Source was raising its maximum annual advisory fee from 1.0% to 1.25% for clien...
5/23/2019 | Content area: Investment Adviser
It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered I...
4/29/2019 | Content area: Investment Adviser
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help advisers when it comes to billing and charging client fees.
4/11/2019 | Content area: Investment Adviser
Plaintiffs continue to pile on Fidelity over claims the custodian charges mutual funds for access to its platform in contravention of ERISA rules. Ano...
4/04/2019 | Content area: Investment Adviser
Former IA rep Jeremy Drake will be calling a federal prison home for the next 2½ years in a case that suggests compliance needs to closely examine how...
4/04/2019 | Content area: Investment Adviser
As the long-standing chief operating officer of the SEC-registered M&R Capital Management ($528M in AUM), Richard Diver had his annual compensation pe...
3/21/2019 | Content area: Private Fund
As the investment adviser to both the seller and buyer of a commercial real estate asset, Tamlico had a clear conflict. When the New York-based firm a...
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...


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