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Performance Based Fees (12)
Your search for Performance Based Fees returned 12 results.
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5/26/2016 | Content area: Investment Adviser
You’ve been put on notice: The SEC will soon hike to $2.1 million the net worth test defining a “qualified client.” This is important should you wish ...
11/11/2013 | Content area: Investment Adviser
New guidance from the SEC's Division of Investment Management gives the nod to investment advisers that manage multiple special purpose vehicles under...
7/16/2012 | Content area: Investment Adviser
Given that Dodd-Frank revised these thresholds, let's remind you again what they are:Qualified investor: holds at least $1M in AUM and maintains at le...
2/20/2012 | Content area: Investment Adviser
That Dodd-Frank inflation-adjusted definition of a "qualified investor" who can be charged performance fees by his adviser went into effect last summe...
2/16/2012 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is a 2012 final rule from the SEC amending the rules for performance-based fees by advisers, another change sparked by the Dodd-Frank reform law.
7/18/2011 | Content area: Investment Adviser
In May, the SEC signaled it would exercise its Dodd-Frank authority to hike AUM and net worth thresholds for when advisers can charge performance-base...
5/16/2011 | Content area: Investment Adviser
Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance-based fees. A new prop...
5/10/2011 | Content area: Investment Adviser
Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance—based fees. A new prop...
5/18/2009 | Content area: Investment Adviser
You don't have to recertify a qualified client due to the deflated market - but you should if the client provides new money.That's the summary of rese...
12/23/2004 | Content area: Investment Adviser
Investment Advisers Act of 1940 - Section 205(a)(1) Pacific Select Fund, et al. December 23, 2004 ...
12/06/2004 | Content area: Investment Adviser
Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc. December 6, 2004 RESPONSE OF TH...
2/07/2002 | Content area: Investment Adviser
No-Action Letter under: Investment Advisors Act - Section 205; and Rule 205-3 Seligman New Technologies ...


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