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JoelLewis
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fee-disclosure

Explain fee disclosure requirements across advisory, brokerage, fund, and retirement contexts.

164|33|Updated Feb 15, 2026
Search Tags:#compliance#ERISA#Reg BI#fee disclosure#Form ADV#wrap fees#12b-1 fees
One-click install
npx skills add https://github.com/JoelLewis/finance_skills --skill fee-disclosure
Or copy as Structured Prompt for Agent▼
Please help me install this Agent Skill.
Skill: fee-disclosure
Source: https://github.com/JoelLewis/finance_skills/tree/main/plugins/compliance/skills/fee-disclosure
Command: npx skills add https://github.com/JoelLewis/finance_skills --skill fee-disclosure

SYSTEM DOCUMENTATION & REQUIREMENTS

💡 This Skill includes references (resource) components.

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.

Frequently Asked Questions about fee-disclosure

High-intent search queries and answers about installing and using this skill.

FAQPage Schema
How do I ensure compliant fee disclosures for a wrap fee program?▼

To ensure compliant fee disclosures for a wrap fee program, you must clearly outline all bundled advisory and transaction costs, identify potential conflicts from indirect compensation, and meet specific regulatory disclosure obligations.

What fee disclosure requirements apply to ERISA 408(b)(2) plans?▼

ERISA 408(b)(2) fee disclosure requirements mandate that covered service providers detail all direct and indirect compensation, including revenue sharing and 12b-1 fees, to fiduciaries for retirement plan compliance.

How should indirect compensation and 12b-1 fees be disclosed under Reg BI?▼

Under Reg BI cost disclosure, indirect compensation and 12b-1 fees must be clearly articulated to retail investors, highlighting potential conflicts of interest arising from revenue sharing to satisfy compliance obligations.

What are common pitfalls when reviewing Form ADV Item 5 fee disclosures?▼

Common pitfalls when reviewing Form ADV Item 5 fee disclosures include failing to adequately capture hidden fees, omitting fund-level expenses, and improperly describing indirect compensation or revenue sharing arrangements.

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