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 July 30, 2018 Issue

Failure to Offset Fees May Result in Payments to Both Clients and the SEC

Itís great when fees come in, whether for management, consulting or something else. But check your governing documents Ė not all fees are meant to be kept by the advisory firm, and keeping such fees may result in a visit from the SECís Division of Enforcement staff.

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.