Fees and Expenses

IA hid fees, discipline from investors, SEC claims

First Heartland charged with breaching fiduciary duty for failing to disclose three types of compensation

The price tag of the fees accruing to fund investors has been put at more than $220 million a year

Share class selection, fee markup practices, and best execution all cited in enforcement action

We intend to issue an order that would increase the dollar amount of the assets-under-management test from $1,000,000 to $1,100,000, and would increase the dollar ...

It’s also a good practice to periodically review what your compliance P&Ps state about your firm’s fee practices, so they match what you’re actually doing

The task of expense allocation grows trickier with coinvestment vehicles and multiple funds. The fairest method may be to allocate these costs across each participating ...

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