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Disclosure Fees (35)
Your search for Disclosure Fees returned 35 results.
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5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
3/11/2019 | Content area: Investment Adviser
We had told you in December to expect a slew of settlements from advisers that took advantage of the SEC’s self-reporting initiative (IA Watch, Dec. 1...
4/12/2018 | Content area: Investment Adviser
The window period to take advantage of the SEC’s Share Class Selections Disclosure Initiative is fast drawing to a close with its attendant June 12 de...
8/30/2017 | Content area: Investment Adviser
This document proposes to extend the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the...
7/20/2017 | Content area: Investment Adviser
KMS Financial Services ($5.9B in AUM) in Seattle freely disclosed in its Form ADV that it had a relationship with a clearing broker. The dual-registra...
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...
3/09/2017 | Content area: Investment Adviser
The adviser followed the rules and disclosed a conflict and compensation on Form ADV that it received from a clearing broker. However, the adviser fai...
3/08/2017 | Content area: Investment Adviser
This matter involves a registered investment adviser’s failure to disclose to its clients compensation it received through an arrangement with a third...
8/04/2016 | Content area: Investment Adviser
An enforcement action brought Aug. 2 against a Eugene, Oregon-based investment adviser has further driven home the SEC’s focus on share class issues. ...
7/14/2016 | Content area: Investment Adviser
RiverFront significantly increased its trading away activity during 2009 and early 2010. Consequently, trading away began to constitute a majority of ...
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 ...
1/15/2016 | Content area: Investment Adviser
A small investment adviser based in Ohio is paying the price for not giving compliance its due.   Everhart Financial Group ($250M in AUM) in Dublin, O...
12/14/2015 | Content area: Investment Adviser
The disclosures also failed to adequately disclose that Total Wealth already had a significant number of revenue sharing agreements in place. For exam...
12/03/2015 | Content area: Broker-Dealer
SEC officials have been quite vocal of late on the controversial issue of CCO liability. FINRA leaders, however, have been largely silent on the matte...
11/25/2015 | Content area: Private Fund
A San Francisco-based private equity fund adviser has been charged with negligent breaches of fiduciary duty for disclosure failures tied to undisclos...
11/12/2015 | Content area: Private Fund
The SEC’s bringing first-of-its-kind, cutting edge cases is changing behavior, Chair Mary Jo White told the audience Nov. 10 at SIFMA’s annual confere...
11/05/2015 | Content area: Private Fund
The SEC has brought its first-ever enforcement action against a private equity adviser and four firm executives for failing to disclose conflicts of i...
10/07/2015 | Content area: Private Fund
A failure to properly disclose accelerated monitoring fees has landed three private equity fund advisers within the $330 billion Blackstone Group a $3...
9/30/2015 | Content area: Broker-Dealer
Broker-dealers are being encouraged to voluntarily adopt and implement model fee disclosure and accessibility standards advanced Sept. 28 by a working...
9/03/2015 | Content area: Investment Adviser
The global financial crisis certainly caused many players in the real estate market to undertake varied strategies to ride out things until the market...


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