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Keywords: Expense compliance
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (4): 1–3.
Published: 06 November 2018
...Robert Van Grover Purpose To summarize and interpret a Risk Alert issued on April 12, 2018 by the US SEC’s Office of Compliance Inspections and Examinations (OCIE) on the most frequent advisory fee and expense compliance issues identified in recent examinations of investment advisers. Design...
