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Fees: Regulators (85)
Your search for Fees: Regulators returned 85 results.
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11/21/2018 | Content area: Investment Adviser
If you have your custodian automatically deduct your clients’ fees, be sure it can adjust for breakpoint discounts and can “household” the accounts.  ...
11/19/2018 | Content area: Investment Adviser
The adviser failed to apply advisory fee discounts to certain client accounts contrary to its disclosures, representations to clients, and its advisor...
9/20/2018 | Content area: Investment Adviser
No one’s surprised to learn that OCIE will check to see if an adviser is charging proper fees. What might astonish is that a lot of clients are enjoyi...
8/09/2018 | Content area: Investment Adviser
During the four-year period in which Brahmbhatt advised Jade’s clients to invest in the STI Notes, he omitted to disclose that he and Jade were receiv...
8/09/2018 | Content area: Investment Adviser
During the four-year period in which Aulakh and Jade Principal advised Jade’s clients to invest in the STI Notes, Aulakh and Jade Principal omitted to...
7/20/2018 | Content area: Investment Adviser
BHWM and Black withheld prepaid, unearned advisory fees totaling $131,000 from 63 departing clients who requested terminating their advisory relations...
6/29/2018 | Content area: Broker-Dealer
For more than 10 years, Joseph "Jay" Ludovico and another Cantor Fitzgerald trader used personal checks to pay a portion of their commissions to Adam ...
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...
6/29/2018 | Content area: Investment Adviser
This matter arises from the failure of venture capital fund adviser Aisling to offset consulting fees against the management fees paid by certain fund...
6/12/2018 | Content area: Broker-Dealer
These proceedings arise out of Merrill’s failure reasonably to supervise Firm personnel so as to prevent and detect violations of antifraud provisions...
5/24/2018 | Content area: Private Fund
These proceedings arise out of misrepresentations and omissions by Aberon and Krigsfeld concerning the assets and performance of a hedge fund called A...
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...
3/01/2018 | Content area: Investment Adviser
All the fuss over the Labor Department’s fiduciary duty rule (before it fizzled) left many firms pursuing the best practice of comparing a client’s ex...
1/04/2018 | Content area: Private Fund
Fort Worth, Texas-based TPG Capital Advisors ($51B in AUM) had disclosed to its private equity investors that it could receive accelerated monitoring ...
10/31/2017 | Content area: Broker-Dealer
Buck failed to inform the customers that their total annual commissions were exceeding the promised limits and falsely represented to several customer...
8/24/2017 | Content area: Investment Adviser
It’s nice to have choices. One is to calculate your client fees off of the trade or settlement date.   Which one should you select?   “We have had tha...
8/17/2017 | Content area: Private Fund
Usually the SEC wants its money within 10-14 days. But a private fund adviser will get up to three years to pay off its enforcement tab.   The trouble...


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