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News September 25, 2017 Issue

Examiners and Enforcement Division Keep an Eye on the Fees and Expenses Ball

Fees and expenses, and how advisers allocate them, constitute much of what compliance is about. While some compliance officers may consider fee and expense allocation among the most basic of compliance practices, they should avoid the trap of thinking they have it covered, when in fact, they may not. Nor should they be lulled into believing that agency examiners and investigators donít look for such violations, when, in fact, they do. This may be particularly true with private fund advisers.

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