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Business man counting out $1000 bills on his desk
In justifying the proposal, the SEC noted the COVID effect. "Overall, the market events in March 2020 show how liquidity can deteriorate rapidly and significantly”
Swing pricing and 'hard close' would be imposed on most funds
Many advisers hold Monday morning monitoring meetings, where they discuss the state of financials. “That’s the information they should be using for valuation”
Enforcement deadline looms
The rule also allows boards to name a “valuation designee,” and often this will be the fund’s investment adviser
Although AlphaCentric had delegated pricing responsibilities for the Fund to the Sub-Adviser in the sub-advisory agreement, AlphaCentric did not adopt policies and procedures to provide ...
Garrison Point failed to implement its compliance policies and procedures concerning its role in valuing Fund securities
'Archegos engaged in a brazen scheme to manipulate the market,' SEC claims in civil suit.
Sentence will deter others, judge hopes
regulation Securities and Exchange Commission SEC GPs
Certain types of deal may not require a fairness opinion, a case likely to be made to the regulator during the ongoing consultation period.

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