Fees and Expenses

While OCIE won't divulge everything that goes into its risk assessment when picking out exam targets, director Carlo di Florio ticked off potential areas for ...

As with much of the investment advisory regulatory regime, disclosure satisfies if you wish to include money market fund assets in fee calculations. Fees must ...

A Delaware judge has ruled for Randy Lerner, the billionaire owner of the Cleveland Browns NFL football team, in a dispute with a hedge fund ...

In May, the SEC signaled it would exercise its Dodd-Frank authority to hike AUM and net worth thresholds for when advisers can charge performance-based fees ...

The SEC issued this no-action letter permitting a private equity entity or one of its funds to purchase shares in foreign funds in excess of ...

What are you to do when two rules collide? It happens. Case in point is the SEC's new Form ADV rule and a 1988 no-action ...

Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance-based fees. A new proposed rule issued ...

This is a guide to SEC registration designed to help hedge fund and private equity fund advisers understand new registration requirements. This was prepared by ...

This is a sample subscription agreement for a private equity fund courtesy of Thomas Gallagher, a partner at Baker Hostetler in New York.

It'll be more than a year before the impact of a new Department of Labor rule hits the market, but when it does, investors in ...