Fees and Expenses

A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved to ...

Form ADV, Part 2a – the brochure – includes a section on fees but the structure fails to allow easy comparisons among what advisers charge, ...

When does a customer account fee become unreasonably excessive? Does FINRA have a role in monitoring such fees, especially among consenting professionals?   Such questions ...

And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, according to an industry ...

As fee structures grow more complicated, so must your oversight. Controls at many firms “are not keeping up with the complexity of fees that are ...

SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing Assets Litigation Release No. 24539 / July 18, 2019 U. S. Securities and Exchange ...

With credit card issuers touting awards like airline miles, hotel stays, cash back and more for using their credit cards, it’s little wonder clients may ...

The good news is that the recently adopted Form CRS has been further condensed to a maximum two-page disclosure document for investment advisers and broker-dealers ...

Stephen Brandon Anderson obviously didn’t display a flair for the chief compliance officer role. That’s why a new settlement in an SEC enforcement action blocks ...

In September 2012, Anderson sent a letter notifying clients that River Source was raising its maximum annual advisory fee from 1.0% to 1.25% for clients ...