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Expert Analysis

A Closer Look At SEC Guidance On Investment Adviser Fees

By Sonia Gioseffi, Michael McGrath and Michael Domanico ( May 4, 2018, 12:56 PM EDT) -- In a recent risk alert issued by the U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations, OCIE staff summarized the most frequent fee and expense deficiencies identified in recent SEC examinations of registered investment advisers.[1]...

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