Fees and Expenses

After SEC examiners descended upon a firm and found evidence that clients were being overcharged because account balances weren't being aggregated to qualify for breakpoint ...

The call conjured up a mystery reminiscent of a spy novel, and raised suspicions like a fingerprint left at a crime scene. A peer had ...

It's not every day that an enforcement action against an investment adviser includes news that the CCO resigned over questionable actions by the firm's owner. ...

This private equity adviser and its CEO were charged by the SEC for alleged violations, including with how expenses were handled.

A broker can deal with securities related to the ownership of a privately-held company without having to register as a broker-dealer.

This letter follows on a controversial stance by the SEC that holds that some private equity firms should have to register as broker-dealers because they ...

This Risk Alert summarizes OCIE staff observations on the due diligence practices of certain investment advisers that manage and/or recommend alternative investments to their clients

Frank Dappah attempted to make the leap from the insurance industry to investment adviser but missed a few key concepts along the way. The SEC ...

One view holds that the recent speech by the SEC's David Blass simply spotlighted the agency's long-standing position on what types of transactions warrant an ...

It's been reported that SEC examiners are asking tough questions about expenses charged to investors by hedge and private equity fund advisers. Sources tells us ...