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Keywords: Expense allocation
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (4): 1–3.
Published: 06 November 2018
... pertaining to advisory fees and expenses. Expense allocation Account valuation Expense compliance Investment advisory fee Office of Compliance Inspections and Examinations (OCIE) US Securities and Exchange Commission (SEC) © 2018 Seward & Kissel LLP. 2018 2018 Seward & Kissel LLP...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (2): 35–38.
Published: 04 July 2016
.../methodology/approach This article summarizes the background of this focus on expense allocations and, drawing from the recent SEC enforcement actions focused on this issue, and identifies the types of both expenses and disclosures that have caught SEC attention. Findings After spending the first two...
Journal Articles
Kenneth Berman, Gregory Larkin, Phil V. Giglio, Erica Berthou, Michael P. Harrell, Jordan C. Murray, Jaime D. Schechter, Geoffrey Kittredge
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (1): 66–68.
Published: 05 May 2015
...Kenneth Berman; Gregory Larkin; Phil V. Giglio; Erica Berthou; Michael P. Harrell; Jordan C. Murray; Jaime D. Schechter; Geoffrey Kittredge Purpose – Describe an important recent enforcement action by the Securities and Exchange Commission (SEC) regarding expense allocations by private equity...
