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Fees (61)
Your search for Fees returned 61 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...
7/11/2019 | 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...
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...
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, ...
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...
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 ...
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...


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