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Performance Based Fees

Since August, the qualified client definition jumped from an AUM test of $1 million to $1.1M and a net worth threshold of $2.1M to $2.2M
We are adopting amendments to rule 205-3 to replace the specific dollar amount thresholds in the rule’s net worth and assets-under-management tests with references to ...
Provides for compensation to the investment adviser on the basis of a share of the capital gains
CEO and chief portfolio manager charged for their roles in artificially NAV and performance results
In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...
Enforcement may be a case study in what not to do
'A lot of fees and potential conflicts inherent,' Chairman says
Narrative, structural complexities invariably hid higher fees, academics find
The order takes effect August 16, 2021. The definition of a qualified client moves to a net worth (together, in the case of a natural ...
The Commission is announcing that it intends to hike the two tests that make one a qualified client. The AUM test will be raised from ...

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