Tag: Advisory Contracts
SEC Intends to Increase Assets Under Management and Net Worth Thresholds for “Qualified Clients”
The SEC intends to make inflation adjustments to the assets-under-management and net worth tests in the Advisers Act rule regarding performance-based fees.
April 03, 2026
Tags: Advisory Contracts, Advisory Fees
Hedge Clauses Under the SEC Microscope, Again
SEC scrutinizing the use of hedge (liability limiting) clauses in retail advisory agreements with clients.
February 17, 2026
The SEC announced enforcement actions against two advisers in connection with hedge clauses, assignment, and custody language in advisory agreements.
January 29, 2026
Tags: Advisory Contracts, Custody, Hedge Clauses
Firms consider the use of hedge clauses in advisory agreements, which are commonly used contractual provisions limiting an adviser’s liability to its clients.
February 20, 2025
Tags: Advisory Contracts, Hedge Clauses
SEC Staff Identify Private Fund Adviser Deficiencies
The SEC’s Division of Examinations has issued a Risk Alert with additional key observations of deficiencies in exams of private fund advisers.
February 01, 2022
Tags: Advisory Contracts, Hedge Funds, Private Equity, Private Funds, SEC Examinations
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