Valuation

The adviser's compliance manual failed to specify any roles or responsibilities for personnel in connection with ascertaining the validity of public statements by Semper concerning ...

The SEC is seeking comment on new regulations that would allow boards of registered funds to delegate valuations to firm investment advisers—regulations that if adopted ...

Boards would have to ensure that investment advisers report no less than quarterly on a range of issues

The proposed rule would provide requirements for determining fair value in good faith with respect to a fund

“Designate a ‘point person’” among board directors who would be the firm’s liaison with the valuation committee

The agency also may be witnessing a payoff for having created the liquidity risk management rule

Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...

The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 ...

For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...

The CCO of a Colorado private equity firm will pay $15,000 to settle claims that he helped his bosses defraud investors in a $25 million ...