Fees and Expenses

A private equity adviser in suburban Washington, D.C. will pay more than $1 million to settle SEC claims that it inadvertently overcharged its investors managements ...

Rashid claimed as legitimate business expenses a New Year’s trip to Brazil, a friend’s bachelor party and wedding, a flight to the Super Bowl, and ...

EDG did not incorporate the effects of these write downs into management fee calculations performed with respect to thirteen quarterly management fee payment dates during ...

TAM required four money market funds it advised to reimburse fees and expenses previously waived

The Commission is not imposing a penalty because TAM self-reported the above conduct, took prompt steps to remediate the violations

The SEC’s recent risk alert on COVID-19 challenges private fund advisers to come up with “creative” solutions to a new, and world-historic, phenomenon, experts tell ...

After considering the comments received on the Proposal to rescind the Fee Exception,6 the Commission has determined that the Fee Exception is no longer appropriate ...

A Miami private fund adviser incorrectly billed real estate funds it advised $3 million in expense reimbursement, costs that should’ve been billed to its co-investment ...

Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, and have “a trusted ...

The total number of B-Ds declined 3% over the past year