IAA Today Archive

SEC Fines PE Fund Adviser $4.5 Million in Connection with Fee Calculations

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December 21, 2021

Keywords: Disclosure, Fees and Expenses, Private Equity, SEC Enforcement

Categories & Topics: Enforcement, Private Funds

SEC Updates Performance Fee Rule to Remove Specific Dollar Amounts

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November 22, 2021

Keywords: Fees and Expenses, SEC Investment Management

Categories & Topics: Account Operations, Advisory Contracts

Adviser, Principals Fined for Charging Clients Fees Without Providing Advice

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October 05, 2021

Keywords: Conflicts of Interest, Disclosure, Fees and Expenses, Fiduciary, SEC Enforcement

Categories & Topics: Compliance, Conflicts, Enforcement, Fiduciary

Increases in AUM, Net Worth Thresholds for Qualified Clients Effective Aug. 16

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August 24, 2021

Keywords: Fees and Expenses

Categories & Topics: Account Operations, Advisory Contracts

SEC Increases AUM, Net Worth Thresholds for Qualified Clients as of August 16

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June 29, 2021

Keywords: Fees and Expenses

Categories & Topics: Account Operations, Advisory Contracts

BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval

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June 15, 2021

Keywords: Conflicts of Interest, Enforcement, Fees and Expenses, Fiduciary, Investment Company Act

Categories & Topics: Compliance, Conflicts, Enforcement

SEC to Increase AUM and Net Worth Thresholds for Qualified Clients

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May 18, 2021

Keywords: Fees and Expenses

Categories & Topics: Account Operations, Advisory Contracts

Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring

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January 05, 2021

Keywords: 12b-1 Fees, Best Execution, Conflicts of Interest, Disclosure, Fees and Expenses, Mutual Funds, Revenue Sharing, SEC Enforcement, Share Class Disclosure, Wrap Fees

Categories & Topics: Business Ops/HR, Compliance, Conflicts, Registered Funds, Wrap Fee