Fees and Expenses

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

Karen Huey demonstrates a process for testing the accuracy of your fees. Video runs 7:11

“There is only one thing worse than being talked about,” said Oscar Wilde, “and that is not being talked about.” Private fund CCOs might beg ...

The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...

The SRO seeks five key items via its information request letter