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The former SEC staffer called the proposal “fundamentally flawed” and “not legally viable”
Public company quotes “aren’t a great comp” because “the chaos that the pandemic has caused” means their valuations aren’t connected to the company’s fundamentals either
Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...
The U.S. Department of Labor has given the green-light for pension fund advisers to invest their clients’ money in private funds, but compliance officers will ...
Even as the SEC is weighing changes to its fund valuation rules, it hasn’t stopped enforcing current ones, as mutual fund adviser Semper Capital Management ...
Proposed SEC rules that would allow registered investment companies to delegate fund valuations to their investment advisers represent an excellent opportunity for IAs to get ...
The adviser's compliance manual failed to specify any roles or responsibilities for personnel in connection with ascertaining the validity of public statements by Semper concerning ...
The SEC is seeking comment on new regulations that would allow boards of registered funds to delegate valuations to firm investment advisers—regulations that if adopted ...
Boards would have to ensure that investment advisers report no less than quarterly on a range of issues
The proposed rule would provide requirements for determining fair value in good faith with respect to a fund
“Designate a ‘point person’” among board directors who would be the firm’s liaison with the valuation committee
The agency also may be witnessing a payoff for having created the liquidity risk management rule
Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...
The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 ...
For the SEC, the fraud at the core of a Chicago-area hedge fund adviser and its two top execs, including its CCO, “was simple.” The ...
The CCO of a Colorado private equity firm will pay $15,000 to settle claims that he helped his bosses defraud investors in a $25 million ...
A private fund adviser counted his chickens before they hatched and now the SEC has barred him. Scott Huish will also have to pay over ...
A failure to conduct reviews at specified intervals to determine if advisory accounts remained suitable for clients or if their assets should be moved to ...
This matter arises out of fraudulent conduct by TitleCard Capital Group, LLC (“TCCG”), an exempt reporting investment adviser with the Commission, and its only managing ...
A defunct Manhattan broker-dealer and its former CEO have agreed to settle SEC claims that they failed to supervise one of their brokers who was ...
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