Fees and Expenses

It’s no secret that the SEC has long trained its regulatory glare upon transaction-based compensation and entities that aren’t registered broker-dealers (IA Watch, May 26, ...

Regulator interest in how private equity fund advisers assess and disclose fees and expenses has been as transparent as a stadium scoreboard. Irony exists in ...

Over a period of four years, Alpha Titans, an investment adviser registered with the Commission that advises private funds, and its principal, Timothy P. McCormack, ...

Despite current regulatory disclosure requirements, investors are confused about the fees charged by brokerage firms to service and maintain their accounts, according to a new ...

      Investment Company Act of 1940 — Sections 12(d)(1)(A) and (B) and 17(a) Franklin Templeton Investments April 3, 2015 RESPONSE OF THE OFFICE ...

Lynn Tilton and her New York-based Patriarch Partners firms were hit with SEC fraud charges March 30 tied to concealing the poor performance of loan ...

The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was ...

This is a speech that the SEC's Julie Riewe, co-chief of the Enforcement Division's Asset Management Unit, gave at an IA Watch conference in Washington, ...

Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items contained within OCIE’s just-released 2015 ...

This Investment Company Act rule permits open-end mutual funds to issue more than one class of voting stock