Valuation

This adviser was charged with a slew of Advisers Act violations, including of the custody rule, valuation and the principal trading rule.

This adviser dealt in securities that were hard to value. It came up with detailed valuation procedures that were disclosed in the fund’s offering materials ...

For years, OCIE has talked of its use of risk analysis to select advisory firms to examine but perhaps no brighter light has been shined ...

This SEC document request letter, which went to an advisory firm, is interesting because it appears to mix the agency's approach to a so-called “presence ...

This Oppenheimer employee was charged with a host of securities violations related to the valuation of the Oppenheimer Global Resource Private Equity Fund, along with ...

CCOs must understand the valuation process, "how the values are derived, what the trends mean or don't mean, what the outliers mean or don't mean," ...

You can almost hear echoes of the Morgan Keegan case amid the allegations against two London-based former traders at J.P. Morgan. The pair face possible ...

The SEC charged two former traders at JP Morgan Chase & Co. with fraudulently overvaluing investments in order to hide massive losses in a portfolio ...

Private-equity firms have generally been conservative when it comes to valuing their portfolio investments—with the exception, no big surprise, of when they’re in the market ...

Those eight former board directors of five Morgan Keegan mutual funds facing legal action for allegedly failing to adequately oversee the valuation of subprime funds ...