9d. IA – Advisory Fee Billing: Risks and Best Practices (Intermediate)
The SEC continues to signal the high priority placed on scrutinizing investment adviser fee billing practices with risk alerts addressing deficiencies found during regulatory examinations. Given this backdrop, it’s critical to consider best practices regarding investment advisory fees, including their calculation and disclosure. In this session, attendees will receive actionable guidance on how to improve compliance oversight of fee billing practices. This session is open to regulators but closed to members of the press.
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