Fees and Expenses

'These fees are crazy...'

Boston adviser learns value of good compliance officer

'Broken windows' gets industry workout

Instead of paying back Fund II during this time period, Respondent used the management fees it charged and collected for its own operating expenses

The CCO also can lay down the foundation by creating P&Ps that correspond to how fund documents address expense allocation

Case may be illustration of right place, wrong time

Hudson and Lone Star Global failed to fully disclose Hudson’s practice for calculating and charging certain fees. Hudson charged $54.6 million in incremental and undisclosed ...

FINRA claims broker-dealer charged commissions on low-principal transactions that were "not fair and reasonable"

EIC’s failures caused the Funds and, ultimately, their LPs to pay $678,681 more in management fees than they should have paid

Savvy CCOs can use risk alerts as cheat sheet