As previewed, below we examine several management fee offset-related SEC enforcement actions (a topic we have previously written about). Although the summaries also highlight certain remedial actions ...

A recent enforcement action against two affiliated wealth management businesses raises concerns over whether and how other registered investment advisers will be subject to sanctions for issues that ...

Lincoln Trust Company has introduced the Personalized Expense Ratio for the 401(k) plans that it administers. The ratio is designed for participants, plan sponsors and advisers to see the actual cost ...

Accurate cost calculations Consistent operational practices to document revenue, costs, and fee rates Compliance with SUNY and university policies Adequate internal controls The University at Buffalo ...

The trend of hospitals, particularly rural and critical access hospitals, entering into management agreements with related health systems, specialized hospital management companies or larger health ...