See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News September 14, 2015 Issue

SEC Focus on Fees and Their Disclosure Drives Two Enforcement Actions

Two recent SEC cases – one an administrative settlement with an advisory firm involving exchange fees, the other a court complaint against a hedge fund adviser involving allegedly unearned management fees – demonstrate the Division of Enforcement’s never-flagging interest in fees and how they are disclosed.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight for just $1,195! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.