Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
VALUATION ENFORCEMENT ACTIONS
12/03/2018 | Content area: Investment Adviser
This matter arises from FSM’s improper allocation of expenses to its former business development company (“BDC”) clients, and failures relating to the...
8/16/2018 | Content area: Investment Adviser
Citi eliminated 15 valuations and related financial control positions in North America, as part of a global “efficiency” initiative that saw 50 such p...
5/08/2018 | Content area: Investment Adviser
This matter involves the failure by Ku, Chief Financial Officer (“CFO”) of registered investment adviser Visium Asset Management, LP (“Visium”), reaso...
5/08/2018 | Content area: Investment Adviser
Visium failed to take adequate steps to ensure the outside brokers were dealers in the securities for which they provided quotes; that the quotes obta...
4/26/2018 | Content area: Investment Adviser
SEI funds had the option of loaning out securities to borrowers in exchange for cash collateral covering 102%-105% of the value of the loaned securiti...
1/22/2018 | Content area: Investment Adviser
From February 2013 to December 2014, the NAV that Gemini gave to NASDAQ was inflated because Gemini included in the NAV fake assets that were purporte...
9/28/2017 | Content area: Investment Adviser
These proceedings arise from misconduct by Beaumont in connection with valuation services he provided to an investment firm concerning the value of fo...
9/28/2017 | Content area: Investment Adviser
These proceedings arise from misconduct by SFI, an outside valuation agent, in providing valuation services to an investment firm concerning the value...
8/01/2017 | Content area: Investment Adviser
Lester, through his management of Rubicon, negligently causing CFI to purchase assets from another entity managed by Rubicon without conducting a prop...
5/10/2017 | Content area: Investment Adviser
Barclays Capital, then a dually-registered investment adviser and broker-dealer, improperly charged certain advisory clients of its wealth and investm...
3/29/2017 | Content area: Investment Adviser
Beginning in 2009, Covenant used a third party vendor pricing service (the “Pricing Service”) to value municipal bonds held in the funds. However, beg...
12/01/2016 | Content area: Investment Adviser
PIMCO used a strategy that involved purchasing odd lot positions (i.e., small-sized pieces) of non-agency mortgage-backed securities (“NA MBS”) that t...
10/18/2016 | Content area: Investment Adviser
Calvert misvalued the Toll Road Bonds, which, in turn, led the Calvert Funds to be priced at an incorrect net asset value (“NAV”). The Calvert Funds t...
7/14/2016 | Content area: Investment Adviser
Respondents’ misrepresentations to investors were oral and written, and varied both over time and from investor to investor, but their false and misle...
9/04/2015 | Content area: Investment Adviser | Private Fund
The Securities and Exchange Commission today charged a Bellevue, Wash.-based investment advisory firm and its CEO with fraudulently inflating the valu...
12/12/2013 | Content area: Investment Adviser | Private Fund
This adviser, according to the SEC, committed many violations when it came to valuation of fund assets as well as displaying faulty controls related t...
11/26/2013 | Content area: Investment Adviser | Private Fund
This adviser was charged with a slew of Advisers Act violations, including of the custody rule, valuation and the principal trading rule.
11/19/2013 | Content area: Investment Adviser | Private Fund
This adviser dealt in securities that were hard to value. It came up with detailed valuation procedures that were disclosed in the fund’s offering mat...
8/20/2013 | Content area: Investment Adviser | Private Fund
This Oppenheimer employee was charged with a host of securities violations related to the valuation of the Oppenheimer Global Resource Private Equity ...
8/14/2013 | Content area: Investment Adviser
The SEC charged two former traders at JP Morgan Chase & Co. with fraudulently overvaluing investments in order to hide massive losses in a portfolio t...
© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US