Fees and Expenses

Frank Dappah attempted to make the leap from the insurance industry to investment adviser but missed a few key concepts along the way. The SEC ...

One view holds that the recent speech by the SEC's David Blass simply spotlighted the agency's long-standing position on what types of transactions warrant an ...

It's been reported that SEC examiners are asking tough questions about expenses charged to investors by hedge and private equity fund advisers. Sources tells us ...

Two enforcement actions announced last week by the SEC highlight the risks private equity advisers face if their compliance policies and procedures aren't suitable to ...

Stephens settled with the SEC for operating as an unregistered broker and earning transaction-based income in luring clients to a private equity fund adviser.

This settlement of an SEC enforcement case zeroes in on the issue of a private equity fund operating as an unregistered broker and earning transaction-based ...

A federal court decision last month deserves a spot on your radar screen if only because it could potentially influence fees charged by mutual fund ...

In speeches and a sweep letter, the SEC demonstrates it is moving determinedly toward eyeing private equity fund advisers for signs that clients are being ...

You didn't need to read about the recent enforcement settlement against a Malaysian investment adviser for charging fees for services that weren't provided to know ...

OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March ...