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Valuation (59)
Your search for Valuation returned 59 results.
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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...
11/01/2018 | Content area: Investment Adviser | Private Fund
Within days of an SEC action against Yorkville Advisors in 2012, the defendants filed a furious response, calling the claim of fraud “baseless,” “an e...
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...
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
12/14/2017 | Content area: Investment Adviser
The SEC’s Division of Investment Management has set its sights on the myriad disclosure forms of advisers and funds with a view toward potential impro...
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...
7/27/2017 | Content area: Investment Adviser
It was one of the biggest SEC enforcement settlements in recent history. PIMCO ($1.4T in AUM) in Newport Beach, Calif., agreed last year to pay $20 mi...
5/25/2017 | Content area: Investment Adviser
Big picture changes to the GIPS standards are being contemplated by the CFA Institute. The institute would like to see you weigh in on its recently re...
5/18/2017 | Content area: Investment Adviser
Grappling with a hard-to-value asset can feel as frustrating as trying to kill a persistent weed in your garden. While valuation has cooled somewhat f...
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...
10/20/2016 | Content area: Investment Adviser
Valuing “complex and illiquid securities” can be tough enough. To find that a third-party’s product designed to help you with such valuations was flaw...
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...


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