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Fees and Expenses
Poll results are in and the verdict sits squarely down the middle—half of a room chock full of private fund professionals anticipate an increased SEC ...
It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered IA population (IA Watch, ...
Many CFOs at private equity fund advisers also serve as CCOs. It’s important that someone wearing both hats also receive quality supervision as well. This ...
Plaintiffs continue to pile on Fidelity over claims the custodian charges mutual funds for access to its platform in contravention of ERISA rules. Another 401(k) ...
Former IA rep Jeremy Drake will be calling a federal prison home for the next 2½ years in a case that suggests compliance needs to ...
As the long-standing chief operating officer of the SEC-registered M&R Capital Management ($528M in AUM), Richard Diver had his annual compensation pegged at up to ...
As the investment adviser to both the seller and buyer of a commercial real estate asset, Tamlico had a clear conflict. When the New York-based ...
FINRA is taking a page from the SEC’s playbook in announcing Jan. 28 a self-reporting initiative tied to share class recommendations. Under the SRO’s 529 ...
An old car product advertisement used to sell its product by stating “pay me now, or pay me later.” This adage could apply to ...
In the absence of such disclosure, Lightyear should have either allocated the proportional share of such expenses to the co-investors or borne those costs itself. ...