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Fees and Expenses

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It can pay to have checks and balances in place, but only if the check does the job thoroughly—especially if the monitor holds the title ...
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"As chief compliance officer, [he] had 'overall responsibility for monitoring and testing compliance with the Firm’s policies and procedures'”
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Hawkins falsely represented that tens of thousands of dollars of expenses paid for by the Portfolio Companies relating to her personal vacations were legitimate business ...
Financial misconduct note and accounting records. Fraud and auditing concept.
The wording of the expenses also left much to be desired
Coin stacks with letter dice - Fees
Even though the funds' governing documents specified how expenses would be allocated, managers did not adopt or implement any written P&Ps reasonably designed to prevent ...
Real estate loan contract concept and mortgage calculator. Terms of contract documents, real estate agreements and real estate price fees.
'The biggest area of enforcement that we continue to see is around private jets'
The word fees surrounded by puzzle pieces with dollar bill money. Business and finance concept for costs, charges, commissions or penalties.
A new enforcement action sends the message that any increase in fees constitutes a material change that needs to be disclosed
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Colony Capital didn't properly disclose affiliate expenses, regulators claim
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Colony failed to provide the required disclosures to limited partners in advance and to obtain the required approvals from the LPACs or majority-in-interest of limited ...
'It’s something that the industry can work together on collaboratively. Let’s get together and prove that,' Prunier says
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