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 ...

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 ...

After completing an examination of 130 registered investment advisors, the SEC issued a warning in mid-November that advisors may be violating their fiduciary duties and securities laws because of ...

Compass Diversified Holdings restructured its management fee structure to include a base management fee and an incentive management fee, potentially aligning management's interests more closely with ...

Compass Diversified Holdings (NYSE:CODI) stock rose 1.3% in Wednesday after-hours trading after the owner of middle-market businesses described changes to its management services agreement. An ...