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 »

ESG Investing Risks & Compliance Implications

ESG Investing Risks & Compliance Implications

02 July 2021

Main Contributor: Gretchen Sturdivan, Creative Director & Client Service Manager Approaching Sustainability The SEC Division of Examinations published a Risk Alert on April 9, 2021, as a result of their exam findings with firms who offer Environmental, Social, Governance (“ESG”) products and services. ESG investing has been an Examination Priority for the SEC for theRead More »