How Firms Can Rise Above the SEC’s Issues with Advisory Fee Billing

29 Jul 2019
Date submitted
29 Jul 2019
Resource type
Best practice
File type
Web page Web page
It has been about a year since the U.S. Securities and Exchange Commission announced a risk alert that “Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers.” Such inappropriate fee billing and expense practices may violate the Investment Advisers Act of 1940 and the rules implementing it, including anti-fraud provisions.
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