Fees and Expenses

Guidance to help you when considering advertising model fees or paying someone with a checkered past for testimonials can be found in the Commission’s updating ...

'If the disclosures were misleading or conflicts weren’t properly disclosed and it resulted in inflated fees, then you could see enforcement activity,' Weil, Gotshal & ...

Here are seven FAQs from the SEC's Division of Investment Management to help you comply with the IA marketing rule

Regulators are worried that private fund managers aren’t properly disclosing expenses paid to investment bankers or deal lawyers, that drive up the cost of a ...

Survey shows a vast majority of Americans support an e-delivery default

The client engaged the RIA in 2007 as her investment adviser. At about this time, James Warring’s relationship with the client became more personal and, ...

The calculation was inconsistent with the LPAs, amounted to improper double counting, and had the effect of lowering each Fund’s fee offset

The adviser erroneously billed and collected advisory fees on alternative investment positions, although no fees were supposed to be assessed on those positions

Here’s a compliance strategy you may want to add to your arsenal: Ask your custodian for a list of phone numbers used by clients to ...

The total assets of the now 3,340 broker-dealers grew by $1.7 trillion over the past 14 years