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Fees and Expenses (85)
Your search for Fees and Expenses returned 85 results.
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2/28/2019 | Content area: Private Fund
It’s likely the duty within a private fund advisory firm to allocate expenses falls to accounting or finance. But this doesn’t mean compliance officer...
1/31/2019 | Content area: Broker-Dealer
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s ...
1/02/2019 | Content area: Private Fund
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.”   This adage could apply to Lightyear Capital ($2....
12/26/2018 | Content area: Private Fund
In the absence of such disclosure, Lightyear should have either allocated the proportional share of such expenses to the co-investors or borne those c...
12/17/2018 | Content area: Private Fund
Despite the fact that some BSP employees spent a percentage of their time on tasks not related to the BSP, NBAA, acting negligently, did not adjust th...
12/13/2018 | Content area: Private Fund
This matter arises from Yucaipa’s negligent failure to disclose several financial conflicts of interest to the funds, as well as Yucaipa’s misallocati...
12/06/2018 | Content area: Private Fund
The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper discl...
12/03/2018 | Content area: Investment Adviser
This matter arises from FSM’s improper allocation of expenses to its former business development company (“BDC”) clients, and failures relating to the...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
6/29/2018 | Content area: Private Fund
This matter arises from inadequate disclosures by private equity fund adviser THL regarding THL’s potential future receipt of lump sum fees from the p...
4/26/2018 | Content area: Private Fund
A clear message went to private equity fund advisers this week: Keep your organizational docs current and be sure to inform your LPs of your revenue-s...
4/24/2018 | Content area: Private Fund
This matter concerns an investment adviser’s disclosure failure regarding conflicts of interest between the adviser and its private equity fund client...
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, ...
4/12/2018 | Content area: Investment Adviser
Advisers should review their practices, policies, and procedures to ensure compliance with their advisory agreements and representations to clients in...
2/23/2018 | Content area: Private Fund
The complaint also alleges that a) Hicks and the Southridge Entities defrauded their investors by promising investors that at least 75% of their money...
12/21/2017 | Content area: Private Fund
TPG failed to disclose to its funds, and to the funds’ limited partners prior to their commitment of capital, that it may accelerate future monitoring...
11/22/2017 | Content area: Private Fund
The SEC moved last week to finalize action against Lawrence Penn in a case of fraud that has stretched four years. The contest goes on despite Penn ha...
10/26/2017 | Content area: Private Fund
Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apol...
10/26/2017 | Content area: Investment Adviser | Private Fund
    Investment Company Act of 1940 – Section 17(d) / Rule 17d-1 October 26, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL...
9/21/2017 | Content area: Private Fund
The LPAs did not disclose that the Private Equity Funds would also pay the broken deal expenses for the portion of each investment that would have bee...


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