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News April 23, 2018 Issue

Fees and Expenses: OCIE Wants Advisers to Focus on the Nuts and Bolts

Sometimes itís the basic things that get overlooked, like fees and expenses. When that happens in the asset management community, problems occur and examiners notice Ė which may be why the SECís Office of Compliance Inspections and Examinations this month issued a Risk Alert offering an "Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers." Chief compliance officers would be wise to pay attention.

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