Valuation of Illiquid Assets in Retail Alts Vehicles
Emerging risks to advisers entering the retail illiquid alts market and approaches to mitigate illiquids valuation risk.
September 03, 2026
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Advisers Charged with Insufficient Valuation Policies
The SEC has charged two private fund advisers with insufficient valuation policies and procedures relating to investments of private funds they managed.
June 21, 2023
Advisers Charged with Valuation, Compliance, Oversight Failures
SEC fines fund adviser and sub-adviser in connection with overvaluation of fund assets, oversight, compliance failures.
June 27, 2022
The Chief Accountant of the SEC’s Division of Investment Management has issued a “Dear CFO Letter” to assist funds, advisers, and their independent public accountants “in addressing certain accounting, auditing, financial reporting, or other related disclosure matters.”
May 04, 2021
SEC Investment Management Seeks Input on Cross Trading Rule Amendments
The SEC’s Division of Investment Management staff is considering amending Investment Company Act Cross Trading Rule 17a-7 and is requesting recommendations.
March 24, 2021
The SEC has approved an order from an alternative registered investment company to suspend redemptions due to the fund’s inability to value swaps in the fund’s portfolio.
March 01, 2021
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges
The SEC has fined a registered investment adviser for failing to adopt and implement written policies and procedures reasonably designed to detect problems with its securities pricing.
January 05, 2021
SEC Investment Management Director Blass Discusses Regulating for the Future
The SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking regulation.
October 05, 2020