Valuation

For most of the Relevant Period, the RMC consisted of Deer Park’s Chief Compliance Officer, who was a former geochemist and brother-in-law of Portfolio Manager ...

Poll results are in and the verdict sits squarely down the middle—half of a room chock full of private fund professionals anticipate an increased SEC ...

Three years after Brendan Ross registered his advisory firm, Direct Lending Investments ($866M in AUM) in Glendale, Calif., the 100% owner and CEO abruptly resigned ...

The SEC was crystal clear in its 2018 priorities letter and the pronouncement will likely appear yet again in next year’s iteration: “the proper disclosure ...

This matter arises from FSM’s improper allocation of expenses to its former business development company (“BDC”) clients, and failures relating to the valuation of two ...

Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an egregious ...

LCA did not implement policies and procedures reasonably designed to ensure that proper disclosures were made regarding its use of the BBFQ fund’s assets and ...

Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such positions eliminated ...

The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (PF ...

This matter involves the failure by Ku, Chief Financial Officer (“CFO”) of registered investment adviser Visium Asset Management, LP (“Visium”), reasonably to supervise Visium portfolio ...