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investment advisor

Exclusively for NAIC Members: ICS Group Offers Complimentary Mock Exams
The SEC expects to increase the number of investment adviser examinations in 2016. The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) is also increasing the number of examiners by almost 20% this year...
Don’t Get Charged with Misallocating Fees and Expenses
February 9, 2016 - Over the past several years, the Securities and Exchange Commission (“SEC”) has been increasingly focused on the fee and expense practices of private equity firms. In 2016, the SEC will continue its focus on whether fee arrangements are in the best interest of the investor and if adequate disclosures are made to investors about fees and expenses.