Valuation

If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you ...

This speech from 2001 outlines SEC expectations for best execution and valuation, especially for fund advisers

Lynn Tilton and her New York-based Patriarch Partners firms were hit with SEC fraud charges March 30 tied to concealing the poor performance of loan ...

The adviser had set up a committee to deal with conflicts. The firm’s CFO and CCO formed the entirety of the “conflicts committee.” Problem was ...

During any fiscal quarter in which elimination of securities from the portfolio of an investment company occur, the securities remaining in the portfolio shall, for ...

(a) Any investment company whose securities are qualified for sale, or for whose securities application for such qualification has been made, in any State in ...

Hedge fund advisers are having some advertising and marketing compliance issues and 2015 will see SEC examiners focus on retiring investors. These nuggets were among ...

Extension of no-action relief granted by DMO on June 26, 2013 to SD and MSP reporting counterparties for cleared swaps from valuation data reporting required ...

We asked your peers for compliance tests they'll be conducting this year. Their plans include:1. Staying within clients' investment parameters. Wasmer Schroeder & Company ($4.5B ...

This adviser, according to the SEC, committed many violations when it came to valuation of fund assets as well as displaying faulty controls related to ...