Valuation

Federal regulators have agreed to waive fines against an accounting firm that missed multimillion dollar fraud warnings in a mutual fund it was auditing to ...

More scrutiny of PE valuations, especially in a period of slower exit activity and reduced distributions

In part, the proposed amendments are aimed at improving the regulation of underwriting compensation

This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...

It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...

An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations

'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'

Gatekeepers learning hard lessons

Private fund advisers who hope the courts or voters will rescue them from an aggressive SEC are taking a big risk, compliance experts warned in ...

'Shockingly low' compliance budgets collide with regulatory demands