Fees and Expenses

Hansen was sentenced to 60 months in prison and ordered to repay $2.2 million

“We’re showing it again to them every quarter,” the CCO continues. The math allows the client to duplicate the calculation, if desired

This tool comes courtesy of Ben Anderson, principal with his law firm Anderson PLC in Minneapolis

“You need to be clear as to what expenses are being charged to the fund”

Proposal uses present tense, not future tense, and industry is worried

Firm stands by fee structure that's now in Gensler's crosshairs

Commissioner Peirce condemned the proposal, calling it a “sea change” and a standing insult to the “well-heeled, well-represented investors who can fend for themselves”

Document requests suggests SEC sees climate, ethical risks essential to fiduciary duty

The scheme was to fraudulently bill clients for fees to which Yellowstone Partners was not entitled under the terms of the investment agreements

Global failed to have reasonable written policies and procedures in place to confirm that the LPA and PPM were consistent on key points, including in ...