fee-disclosure

What problem does it solve?

This Skill helps navigate and ensure compliance with complex fee disclosure regulations across various financial services contexts, preventing regulatory violations and client misunderstandings.

Core Features & Use Cases

• Regulatory Guidance: Provides detailed explanations of fee disclosure requirements for RIAs (Form ADV), broker-dealers (Reg BI), mutual funds (prospectus tables), wrap fee programs, and ERISA plans.
• Conflict Identification: Helps identify and disclose potential conflicts of interest arising from revenue sharing, 12b-1 fees, and other indirect compensation.
• Use Case: A compliance officer needs to review a firm's Form ADV Part 2A to ensure all client-borne costs, including advisory fees and fund-level expenses, are clearly disclosed.

Quick Start

Guide fee disclosure compliance for a wrap fee program.