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Infographics
April 27, 2018

Fee and Expense Practices to Avoid

After observing several issues during its routine inspections, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert outlining the most common shortcomings relating to advisory fee and expense compliance. Here are some of the more egregious practices advisers should watch for (or correct):

SEC’s Office of Compliance Inspections and Examinations Fee and Expense Practices to Avoid Infographic

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