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
Your Search Results
SEC Settles Charges Against Audit Firm, Partner for Private Fund Valuation Failures
SEC settles enforcement action with audit firm and partner for valuation failures in audit of private funds.
April 12, 2023
SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
Advisers Charged with Valuation, Compliance, Oversight Failures
We’re sorry – you must be a member to view this content. Please log in.
June 27, 2022
This article discusses the importance of valuation of security positions held in client accounts.
February 22, 2022
Adviser, Principal Fined for Fund Management, Proxy, Valuation Issues
We’re sorry – you must be a member to view this content. Please log in.
December 10, 2021
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,...
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 for ways to address valuation challenges that have evolved...
March 24, 2021