Fees and Expenses

The Monitoring Agreement did not contain a provision authorizing AIM to accelerate future monitoring fees from the Portfolio Company for the entire contract period if ...

SEC enforcement action underscores the need for firms growing their business through acquisition to watch client protection

Citigroup Global has agreed to pay a $2.9M penalty for recordkeeping failures tied to expenses incurred with underwriting business

By slipping 2019 fiduciary guidance in as dicta, Commission may signal a crackdown

The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...

'Shockingly low' compliance budgets collide with regulatory demands

Gensler: 'I’m voting for fewer federal bailouts...'

In the 79 months of miscalculations, PIMCO never identified any concerns with the sub-administrator’s calculation of the Fee Waiver amounts

Bonderman's holding company to set aside $15.7 million for class-action claims

As dollars shrink, fraud risks come in three waves, experts warn