Today, the SEC announced the adoption of amendments to several rules under the Investment Advisers Act of 1940 and to Form ADV, the investment adviser registration and reporting form.
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Form ADV
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