As it previously signaled it would do, on June 14, 2016, the SEC issued an Order (available here) increasing the net worth threshold for qualification as a “qualified client”
Continue Reading SEC Raises Net Worth Threshold for ‘Qualified Client’ Status to $2.1 Million Effective Aug. 15, 2016
Advisers Act
SEC Continues its Focus on Advisory Fees
By Christopher P. McHugh on
The SEC recently brought a settled enforcement action against an SEC-registered investment adviser and its CEO/CCO that represents a continued focus on the calculation of advisory fees. On March 2,…
Continue Reading SEC Continues its Focus on Advisory Fees