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Disclosure Requirements Securities and Exchange Commission (SEC) Advisory Contracts

Dorsey & Whitney LLP

OCIE Risk Alert Highlights the Most Frequent Adviser Fees and Expenses Deficiencies

Dorsey & Whitney LLP on

On April 12, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert identifying the most frequently cited compliance deficiencies relating to fees and expenses charged by SEC...more

Morgan Lewis

SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

Morgan Lewis on

Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more

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