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Fees and Expenses (30)
Your search for Fees and Expenses returned 30 results.
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7/18/2019 | Content area: Investment Adviser
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, acc...
6/13/2019 | Content area: Investment Adviser
The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and b...
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...
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...
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...
7/07/2016 | Content area: Investment Adviser
The latest congressional report by the SEC’s Office of the Investor Advocate states that in FY 2017, which begins in October, the office will look at ...
6/28/2016 | Content area: Investment Adviser
WFGA overcharged clients in one of its advisory wrap account programs contrary to its disclosures to these clients. WFGA represented to clients partic...
11/23/2015 | Content area: Investment Adviser | Private Fund
CCA used Fund assets to pay for certain compliance, legal and operating expenses of CCA in a manner not disclosed in the Fund’s offering memoranda and...
11/05/2015 | Content area: Investment Adviser | Private Fund
Although the Funds’ limited partnership agreements disclosed that the Funds would be charged for expenses that in the good faith judgment of the gener...
11/03/2015 | Content area: Investment Adviser | Private Fund
Fenway Consulting ultimately received an aggregate of $5.74 million from the Portfolio Companies during the Relevant Period. However, in contrast to t...
6/29/2015 | Content area: Investment Adviser | Private Fund
Compliance shortfalls were found. KKR did not adopt and implement a written compliance policy or procedure governing its broken deal expense allocatio...
4/29/2015 | Content area: Investment Adviser | Private Fund
Over a period of four years, Alpha Titans, an investment adviser registered with the Commission that advises private funds, and its principal, Timothy...
4/03/2015 | Content area: Investment Adviser | Private Fund
      Investment Company Act of 1940 — Sections 12(d)(1)(A) and (B) and 17(a) Franklin Templeton Investments April 3, 2015...
3/03/2015 | Content area: Investment Adviser | Private Fund
The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was the co...
2/26/2015 | Content area: Investment Adviser | Private Fund
This is a speech that the SEC's Julie Riewe, co-chief of the Enforcement Division's Asset Management Unit, gave at an IA Watch conference in Washingto...
1/15/2015 | Content area: Investment Adviser | Private Fund
Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items c...
12/11/2014 | Content area: Investment Adviser | Private Fund
Advisers know that if a portfolio manager makes a trade error, it’s perfectly acceptable to reimburse a client’s account (IA Watch, Nov. 7, 2011). But...
11/21/2014 | Content area: Investment Adviser | Broker-Dealer | Private Fund
Keynote Address at Columbia Law School Conference on Current Issues in Securities Regulation: The ‘Hot’ Topics


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