Valuation

Enforcement may be a case study in what not to do

Firm 'continues to lack' compliance infrastructure, regulators claim

Embattled hedge fund adviser Infinity Q has estimated its exposure to ongoing shareholder suits at nearly $675 million, the firm says in a new statement. ...

Infinity Q case checks several SEC boxes

A peer shares the RIA's compliance manual, complete with numerous P&Ps

'At the date of this letter, however, audit and valuation reports have not yet been completed by GPB’s outside professionals...'

A former Park Avenue private equity adviser appears to have worked out a plea bargain on charges that he scammed hundreds of investors—including his firm’s ...

GPB Capital, the private equity fund adviser at the center of multiple fraud investigations, says it’s down to its last few million dollars. GPB once ...

Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...

The principals of an Indiana private fund adviser have agreed to settle SEC accusations that they played fast-and-loose with the fund’s valuations and failed to ...