“Many [SEC] actions center on disclosure and conflicts of interest, including advisors misallocating expenses to funds.”

SEC Chair Mary Jo White, “Five Years On: Regulation of Private Fund Advisors after Dodd-Frank”, 2015

The SEC “maintain[s] a focus on fees and expenses.”

SEC Office of Compliance, Inspections, and Examinations “Examination Priorities”, 2016

$4.9M

Average Misallocation Penalty

The SEC is focused on expense allocation.

Are you?

Download brochure to learn how to:

Download Brochure Now

Download EAS Brochure Now

Fields marked with a * are required