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Investment Adviser › Fee Agreements

Bracewell LLP

OCIE Releases Risk Alert Regarding the Fees and Expenses that Investment Advisers Charge Clients

Bracewell LLP on

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently released a Risk Alert that highlights the most common compliance deficiencies relating to fees and expenses...more

Proskauer Rose LLP

SEC Staff Issues Risk Alert on the Six Most Frequent Fee and Expense Compliance Issues

Proskauer Rose LLP on

On April 12, 2018, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a risk alert listing the most common compliance issues concerning fees and expenses charged by SEC-registered investment advisers....more

WilmerHale

ETF Boards Need to Apply Gartenberg Differently

WilmerHale on

The differences between the respective cost structures of exchange-traded funds and mutual funds and the nature of advisory services provided for each product may require boards to think about the Gartenberg factors...more

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