Home Performance Based Fees
Performance Based Fees
This is a 2012 final rule from the SEC amending the rules for performance-based fees by advisers, another change sparked by the Dodd-Frank reform law.
In May, the SEC signaled it would exercise its Dodd-Frank authority to hike AUM and net worth thresholds for when advisers can charge performance-based fees ...
Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance-based fees. A new proposed rule issued ...
Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance—based fees. A new proposed rule issued ...
You don't have to recertify a qualified client due to the deflated market - but you should if the client provides new money.That's the summary ...
Investment Advisers Act of 1940 – Section 205(a)(1) Pacific Select Fund, et al. December 23, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...
Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc. December 6, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
No-Action Letter under: Investment Advisors Act – Section 205; and Rule 205-3 Seligman New Technologies Fund II, Inc. February 7, 2002 RESPONSE OF THE OFFICE ...