Fees and Expenses

Broker-dealers are being encouraged to voluntarily adopt and implement model fee disclosure and accessibility standards advanced Sept. 28 by a working group of regulators and ...

In the absence of performing the planned third party confirmations, Respondents did not perform alternative or additional procedures to test the existence of SSVF’s purported investment ...

The global financial crisis certainly caused many players in the real estate market to undertake varied strategies to ride out things until the market stabilized. ...

In 2010, Jacobs made redemptions in excess of his capital account balances. During 2010 and 2011, Jacobs redeemed his own investment interest and that of ...

You propose that each Division and Feeder Fund, in calculating its portion of annual share registration fees required by Section 24(f)(2) of the 1940 Act ...

For the discerning compliance professional, SEC enforcement actions are chock full of lessons learned and tripwires to be avoided. In June 2014, summer school was ...

Senior SEC Enforcement and OCIE officials have been hinting at this one for a while—a private equity enforcement case centered around misallocated expenses. On June ...

Compliance shortfalls were found. KKR did not adopt and implement a written compliance policy or procedure governing its broken deal expense allocation practices until 2011.

Five years after the latest amendments to the SEC’s custody rule, many questions about it persist. IA Watch’s May 19 custody webinar—counting more than 700 ...

One year after his predecessor talked about compliance for private equity fund advisers (IA Watch, May 12, 2015), OCIE’s Acting Director Marc Wyatt added his ...