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The SEC Is Sending Signals Regarding Advisory Fees and Expenses — Are Investment Advisers Listening?

In recent years, the U.S. Securities and Exchange Commission’s Office of Inspections and Examinations (“OCIE”) has prioritized, in its examinations, the review of the fee billing and expense practices of investment advisers....more

SEC Highlights Latest Advisory Fee/Expense Compliance Issues

In recent years, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) has been paying close attention to the fees and expenses charged by private funds and their...more

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