Fee Disclosure Issues Cause Problems for Futures Fund Adviser

Improper fee disclosure has long been a red flag to SEC examiners and investigators. The problem is magnified when the failure to disclose results in overcharging clients. If the disclosure is corrected but refunds are not made to the clients, expect the agency to come calling.
Full contents of this article are only available to paid subscribers.

Please note: we are on a new platform and you may need to reset your password to recover your account. Click here for more details.

New to ACA Insight?

Subscribe today and receive a time-limited $200 discount!

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.