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Disclosure Fees (21)
Your search for Disclosure Fees returned 21 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...
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...
12/17/2014 | Content area: Investment Adviser
When it comes to Form ADV drafting tips, the first thing often heard is to check Part 1A and 2A and 2B for disclosure consistency (IA Watch, Dec. 15, ...
12/10/2014 | Content area: Investment Adviser
Red flags are to be avoided at all costs when it comes to your firm’s Form ADV since the SEC will unquestionably be scrutinizing this all-important di...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) It shall be unlawful for any investment adviser required to be registered pursuant to section 203 of the Act to pay a cash fee, directly or indir...
9/09/2013 | Content area: Investment Adviser
Advisory firms can basically charge what they wish as long as the fee's fairly disclosed and clients agreed. But know that the SEC's watching for miss...
10/28/2011 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's decision in 2011 on what to charge exempt-reporting and private fund advisers to report via IARD their Form ADV and Form PF disclosu...
1/01/2007 | Content area: Investment Adviser


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