SEC Staff Issues Risk Alert on the Six Most Frequent Fee and Expense Compliance Issues
By EsqSocial Corporation 19/04/18
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. This follows remarks...
By: Proskauer Rose LLP