Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers
April 11, 2018
Topic: The most frequent advisory fee and expense compliance issues identified in deficiency letters sent to SEC-registered investment advisers.
Key takeaways: Advisers should review their practices, policies, and procedures to ensure compliance with their advisory agreements and representations to clients in light of the fee and expense issues noted in this Risk Alert.
View the Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers (PDF)
Modified: July 21, 2022