Valuation

These advisers were charged with poor compliance P&Ps for not requiring a review of portfolio manager valuations and that were not reasonably designed to ensure ...

Now it's the turn for eight former board members of five mutual funds. They face legal action over alleged failings in carrying out their duties ...

This is the SEC's case targeting Morgan Keegan independent directors for their lack of oversight of the firm's valuation processes.

This real-life scenario captures the challenges faced by money managers today, especially when overseeing several funds and owing a fiduciary duty to each. To simplify ...

The market tumult of the last couple of years handed you a great reason to review your policies and procedures around valuation. One best practice: ...

A two-year investigation by multiple regulators centered around valuation has ended with civil charges filed by the SEC, FINRA and state authorities, including against two ...

Spring is the time of renewal so let's sample how your peers have spruced up their compliance programs of late.Track performance outliers. Technology comes up ...

A two-year investigation by multiple regulators culminated today with SEC, FINRA and state charges against an RIA, a portfolio manager and an accountant related to ...

Firms that are GIPS compliant will have to disclose the volatility within a composite, their policies around valuation and whether their compliance has been verified. ...

Struggles over estimating fair value of investments that calculate NAV have been well documented of late and now the American Institute of Certified Public Accountants ...