Valuation

Sentence will deter others, judge hopes

Certain types of deal may not require a fairness opinion, a case likely to be made to the regulator during the ongoing consultation period.

A Connecticut accountant and her firm let a private fund adviser juice his funds’ valuations in what one judge later called “a shocking fraud,” the ...

Case offers early lessons in delegation, cooperation

Velissaris knew or recklessly disregarded that he was, in fact, manipulating the valuations of the Infinity Q Funds’ positions in the Pricing Service and was ...

Calamari will lead two-person team, pursue any potential litigation, Infinity Q says

IAs, B-Ds and private funds all reluctant stars in FSOC report

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

Enforcement may be a case study in what not to do

Firm 'continues to lack' compliance infrastructure, regulators claim