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Fees: Regulators (58)
Your search for Fees: Regulators returned 58 results.
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4/04/2019 | Content area: Investment Adviser
Former IA rep Jeremy Drake will be calling a federal prison home for the next 2½ years in a case that suggests compliance needs to closely examine how...
4/04/2019 | Content area: Investment Adviser
As the long-standing chief operating officer of the SEC-registered M&R Capital Management ($528M in AUM), Richard Diver had his annual compensation pe...
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: 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...
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...
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: Investment Adviser
These proceedings arise out of IIAC’s breach of fiduciary duty and failure to make adequate disclosures regarding the distribution of investor profits...
8/03/2017 | Content area: Investment Adviser
A year after OCIE released a risk alert warning it would look at share class allocations, another adviser faces a multi-million dollar penalty for fai...
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...
7/19/2017 | Content area: Investment Adviser | Broker-Dealer
This matter concerns KMS, a dually-registered investment adviser and broker dealer that failed, in its capacity as an investment adviser, to disclose ...
6/30/2017 | Content area: Investment Adviser
During that time, Bantry Bay’s overstated fees resulted in the Bantry Bay Clients paying an annual rate of 4.9% of their assets under management – mor...
6/01/2017 | Content area: Investment Adviser
The Commission’s complaint alleged that Avatar and Fernandes failed to disclose material conflicts of interest in connection with investments Avatar m...
5/26/2017 | Content area: Investment Adviser
Avatar and Fernandes failed to disclose material conflicts of interest in connection with investments Avatar made in new mutual funds that it created ...


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