Tag: Valuation
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
Tags: Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, ETFs, Valuation
Common Pitfalls in Advisory Billing Practices – A Focus on Fees and Expenses
To no one’s surprise, the topics of advisory fees, billing practices, and valuation continue to be at the forefront of SEC exams this year.
September 23, 2020
SEC Proposes Rule for Good Faith Fair Value Determination, Readily Available Market Quotations
The SEC voted to propose new Rule 2a-5 under the Investment Company Act that would govern valuation practices and the role of the board of directors in the determination of the fair value of the investments of a registered investment company or business development company.
May 06, 2020
Tags: Fair Value, Investment Company Act, Mutual Funds, Valuation
Adviser Fined for Misleading Investors by Overvaluing MBS Positions
A New York-based mutual fund adviser is paying more than $500,000 to settle SEC charges that it misled investors by overvaluing odd lot positions in mortgage-backed securities.
May 06, 2020
Tags: SEC Enforcement, Valuation
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