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Keywords: Account valuation
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (4): 1–3.
Published: 06 November 2018
.../methodology/approach Summarizes deficiencies identified by the OCIE staff pertaining to advisory fees and expenses in the following categories: fee billing based on incorrect account valuations, billing fees in advance or with improper frequency, applying incorrect fee rates, omitting rebates and applying...
