SEC Risk Alert Fee Calculations

SEC Risk Alert Fee Calculations

08 February 2022

Main Contributor: Gretchen Sturdivan, CSCP Creative Director & Client Service Manager Introduction The Division of Examinations (the “Division”) continues to focus on retail clients in their most recent Risk Alert, which highlights deficiencies around advisory fee billing practices. The deficiencies the Division notes often result in financial harm to the client and do not upholdRead More »

2021 Exam Priorities: Discussion for Registered Investment Advisors

2021 Exam Priorities: Discussion for Registered Investment Advisors

06 April 2021

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   We finally have the 2021 Examination Priorities (“Priorities”) from the SEC, albeit later than previous years. You can read the release here. The Priorities for 2021 are strikingly similar to those of previous years, as noted below: Retail Investors, Including Seniors and Individuals SavingRead More »