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Fees and Expenses

It’s also a good practice to periodically review what your compliance P&Ps state about your firm’s fee practices, so they match what you’re actually doing
The task of expense allocation grows trickier with coinvestment vehicles and multiple funds. The fairest method may be to allocate these costs across each participating ...
Richard Chen of Richard L. Chen PLLC in New York shares a checklist to help advisers when it comes to billing and charging client fees
FINRA is still seeing failures to identify and apply relevant discounts or waivers
A CCO peer shares with RCW the firm's expense allocation P&P
New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...
Document your fee billing review and be prepared to show it to SEC examiners should they ask
Few things perk up examiner interest more than mistakes with client billing
A process for checking billing during your annual review, along with a how-to video
Use this Excel spreadsheet to test the accuracy of your billing

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