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Hester Peirce
In "a welcome improvement from the proposal, a valuation designee now will have 20 days to determine whether a matter is material and five days ...
Hester Peirce
"The disclosures to date have varied in the extent to which they discuss the effect of COVID on their operations, financial condition, and expectations of ...
The rule recognizes “the important role that funds’ investment advisers may play and the expertise they may provide,” states the SEC
This is the SEC's recordkeeping rule tied to good faith fund valuations
This rule gives investment advisers broad fund valuation duties as 'valuation designees'
The final rule also permits a fund’s board to designate a “valuation designee” to perform fair value determinations. The valuation designee can be the investment ...
Lesson: Communicate with the entire team. Some examiners may be left out of the communications chain given they’re all working virtually
You could use this as a template to help track your document production during your next OCIE exam
Keep your documentation of employee compliance training. Examiners asked for it, as well as a list of all principal transactions, cross trades and any loans ...
Private funds were a special interest of OCIE in this document request letter obtained by RCW
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