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Topic: Solicitors

Cash Solicitation Fees are Legal, Except When …

August 22, 2014
Working with a third party to bring you new business is never as easy as it sounds. When you pay the third party, it gets complicated.

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SEC Staff Clarifies Application of Cash Solicitation Rule to Hedge Fund Advisers

July 25, 2008


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OCIE Issues Second ComplianceAlert Letter

July 25, 2008


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Referral Fee Payment to Mom Lands Executive in Hot Water

March 17, 2008


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Valuation, Cash Solicitation, and Advertising: What’s Next From the Division of Investment Management

January 25, 2008


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