Transcription of Overview of the Most Frequent Advisory Fee and ... - SEC
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Overview of the Most Frequent Advisory Fee and ... - SEC
By the Office of Compliance Inspections and Examinations . Volume VII, Issue 2 April 12, 2018. Overview of the Most Frequent Advisory Fee and Expense In this Alert: Compliance Issues Identified in Examinations of Investment Topic: The most Advisers Frequent Advisory fee and expense compliance I. Introduction issues identified in The Office of Compliance Inspections and Examinations ( OCIE ) is deficiency letters sent to providing a list of compliance issues relating to fees and expenses SEC-registered charged by SEC-registered investment advisers ( advisers ) that were investment advisers.
manage in each client’s account, an incorrect account valuation will lead to an incorrect advisory fee being assessed to that client. For example, staff observed advisers that: o Valued assets in a client’s account using a different metric than that which was
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