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一只可爱的猪 · 2022年08月27日

对于费用的披露标准?比如介绍费?管理费?绩效费?要披露到什么程度才算合规

Bornelli charges a 2% asset-based management fee. In addition to the management fee, clients may pay an incentive fee at the end of each year. The incentive fee is equal to 20% of the account’s net investment income and net realized and unrealized capital gains for the year.

No incentive fee will be paid unless the Fund has offset all prior net realized capital losses and net investment losses with realized capital gains, unrealized appreciation, and net investment income from all securities held by the Fund.

Campanelli’s evaluation of the management fee disclosures is interrupted by a more urgent matter involving a client. The client has requested monthly performance reporting of his investment in a long-short equity hedge fund. The fund’s administrator argues “Our procedures call for us to provide clients with both gross- and net-of-fees returns within 30 days of the end of the quarter.” He adds “Quarterly reporting is the industry standard.”

Are the firm’s disclosures regarding management fees consistent with the required and recommended standards of the Asset Manager Code?

A Yes.

B No, because they do not use plain language.

C No, because they do not include the average or expected expenses or fees clients are likely to incur.

答案:C

这个也要披露吗?对比这个披露到什么程度,可否请老师总结下?比如各种费用


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王暄_品职助教 · 2022年08月28日

重复提问,参见上一个相同问题的帖子。

王暄_品职助教 · 2022年08月31日

哪个帖子?麻烦老师给一下链接

您好,没找到之前的连接。

要全面的披露,介绍费。管理费,绩效费,交易费,税费这些有可能发生的都需要全面的披露


祝考试成功!

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