Earned additional compensation on certain asset purchases for client accounts or that they had fee sharing arrangements with affiliates. Adviser Expense Misallocations. OCIE staff has observed …

As partnerships begin to report partner tax basis capital accounts, Section 704(c) built-in gains and losses, and capital ownership per-centages, identifying potential allocation errors arguably becomes …

The difference between gross and net expense ratios arises from contractual and/or voluntary waivers on underlying funds, where applicable. Any such waiver is subject to termination in accordance with …

As is the case currently, allocation of trades must continue to be fair and equitable and no account or group of accounts could consistently receive favorable or unfavorable treatment. Lastly, the proposal …

After the first year, the card issuer can raise the interest rate on future purchases and make certain changes in terms, such as increase fees (annual fees, cash advance fees and late fees) with 45 days …

Participants’ “hypothetical accounts” are converted into accruals by projecting the allocation at a stated interest rate from attained age to NRA The employer assumes any risk of loss to the trust fund The …

The Direct Deposit Allocation page will show your current allocations for Pay Distribution (Payroll) as well as Accounts Payable Deposit. You see “Pay Distribution as of xx/xx/xxxx” which was your last …