The first new FAQ revisits a sensitive area for marketing teams: endorsements from individuals with disciplinary histories. The marketing rule generally prohibits advisors from compensating anyone who ...
On 3 April 2020, ESMA published its final report on guidelines regarding performance fees in UCITS and certain types of AIFs, including the guidelines, as appendix IV (the Report). On 5 November 2020 ...
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Confused about how to report performance, testimonials in ads? SEC offers answers in FAQ update.
The Securities and Exchange Commission is seeking to clarify how advisors should calculate fees to determine net performance and when a person with a disciplinary record is eligible to offer ...
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 ...
Lonsec believes the adoption of a performance fee addresses the key issue of aligning interests of fund managers and investors. Performance fees change the incentive structure for a fund manager to ...
Research Review is compiled by PortfolioConstruction Forum in association with Money Management, to help practitioners assess the robustness and disclosure of each fund research house compared with ...
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