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
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Advisers Charged with Valuation, Compliance, Oversight Failures
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June 27, 2022
SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules April 5, 2021 The Chief Accountant of the SEC’s Division...
May 04, 2021
SEC Investment Management Seeks Input on Cross Trading Rule Amendments
SEC Investment Management Seeks Input on Cross Trading Rule Amendments Updated March 24, 2021 The SEC’s Division of Investment Management staff is considering amending Investment Company Act Cross Trading...
March 24, 2021
SEC Order Permits Alternative Mutual Fund to Suspend Redemptions for Inability to Value Assets and Strike a Net Asset Value March 1, 2021 The SEC has approved an order...
March 01, 2021
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges Company Found to Have Used Single Broker Quotes without Sufficient Controls January 5, 2021 The SEC has fined a...
January 05, 2021
SEC Investment Management Director Blass Discusses Regulating for the Future
SEC Investment Management Director Blass Discusses Regulating for the Future October 5, 2020 Using money market funds and exchange-traded funds (ETFs) as case studies, the SEC’s Division of Investment...
October 05, 2020
Adviser Fined for Misleading Investors by Overvaluing MBS Positions
Adviser Fined for Misleading Investors by Overvaluing MBS Positions May 6, 2020 A New York-based mutual fund adviser is paying more than $500,000 to settle SEC charges that it...
May 06, 2020