Fees and Expenses

Two enforcement actions announced last week by the SEC highlight the risks private equity advisers face if their compliance policies and procedures aren't suitable to ...

Stephens settled with the SEC for operating as an unregistered broker and earning transaction-based income in luring clients to a private equity fund adviser.

This settlement of an SEC enforcement case zeroes in on the issue of a private equity fund operating as an unregistered broker and earning transaction-based ...

A federal court decision last month deserves a spot on your radar screen if only because it could potentially influence fees charged by mutual fund ...

In speeches and a sweep letter, the SEC demonstrates it is moving determinedly toward eyeing private equity fund advisers for signs that clients are being ...

You didn't need to read about the recent enforcement settlement against a Malaysian investment adviser for charging fees for services that weren't provided to know ...

OCIE officials have made no secret that they're going to set their sights on many of the newly registered private fund advisers (IA Watch, March ...

While OCIE won't divulge everything that goes into its risk assessment when picking out exam targets, director Carlo di Florio ticked off potential areas for ...

As with much of the investment advisory regulatory regime, disclosure satisfies if you wish to include money market fund assets in fee calculations. Fees must ...

A Delaware judge has ruled for Randy Lerner, the billionaire owner of the Cleveland Browns NFL football team, in a dispute with a hedge fund ...