Valuation

Visium failed to take adequate steps to ensure the outside brokers were dealers in the securities for which they provided quotes; that the quotes obtained ...

SEI funds had the option of loaning out securities to borrowers in exchange for cash collateral covering 102%-105% of the value of the loaned securities. ...

The SEC’s Division of Investment Management has set its sights on the myriad disclosure forms of advisers and funds with a view toward potential improvements. ...

Irony springs from the SEC ALJ’s decision to dismiss fraud charges against former investment adviser Lynn Tilton given that she had earlier challenged the constitutionality ...

These proceedings arise from misconduct by Beaumont in connection with valuation services he provided to an investment firm concerning the value of four complex European ...

These proceedings arise from misconduct by SFI, an outside valuation agent, in providing valuation services to an investment firm concerning the value of four complex ...

Lester, through his management of Rubicon, negligently causing CFI to purchase assets from another entity managed by Rubicon without conducting a proper valuation, and Lester ...

It was one of the biggest SEC enforcement settlements in recent history. PIMCO ($1.4T in AUM) in Newport Beach, Calif., agreed last year to pay ...

Things really have to be bad if your regulator gives you a deficiency letter warning that your use of a discounted cash flow method to ...

Big picture changes to the GIPS standards are being contemplated by the CFA Institute. The institute would like to see you weigh in on its ...