Fees and Expenses

TCA and GP fraudulently inflated the TCA Funds’ net asset value and performance results through the recording of non-binding transactions

By making the false and misleading statements about the fee markups in its Firm Brochures or otherwise, Roberts and TCFG violated the fiduciary duties they ...

'We are concerned about misaligned incentives,' group says

In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...

Limitation agreed to after firm hit with charging advisory fees to client accounts that were not provided advisory services

Enforcement may be a case study in what not to do

'A lot of fees and potential conflicts inherent,' Chairman says

Lower standard, burden of proof moves focus upstream

Narrative, structural complexities invariably hid higher fees, academics find

It’s been said there’s lots of money to be made when an adviser creates a special purpose acquisition company. Now a federal lawsuit claims the ...