Investment Adviser › Valuation

News & Analysis as of May 25, 2013

Stealth Lawyer: Eli Broverman, Financial Startup Co-Founder

SEC Charges Private Equity Fund Advisers With Misleading Investors About Valuation And Performance

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 3/12/2013

The SEC has charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a private equity fund they manage. The SEC recently hinted at potential increased...more

Head of SEC Investment Management Division Announces Top Regulatory Priorities

by Kathleen H. Moriarty, Peter J. Shea, Gregory E. Xethalis | Katten Muchin Rosenman LLP on 2/26/2013

At the Practicing Law Institute’s conference, “The SEC Speaks in 2013,” held on February 22 in Washington, DC, Norm Champ, Director of the Division of Investment Management at the Securities and Exchange Commission (SEC),...more

Investment Management Legal + Regulatory Update -- February 2013

by Luke T. Bagley, Jay G. Baris, Thomas M. Devaney, Kelley A. Howes, Robert E. Putney, III, Isabelle Sajous | Morrison & Foerster LLP on 2/14/2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

The SEC Is Scrutinizing Asset Valuations—Are You Ready?

by Jay A. Dubow | Pepper Hamilton LLP on 1/10/2013

The Securities and Exchange Commission (SEC) recently has set its sights on registered entities and their officers and directors for overvaluing the entities’ assets....more

SEC Accuses Fund Directors of Breaching Their Valuation Duties

by Jay G. Baris, Kelley A. Howes | Morrison & Foerster LLP on 1/4/2013

In a case involving fair valuation of structured notes, the SEC signaled that when investment company fund boards delegate the responsibility to fair value portfolio securities, they must provide “meaningful substantive...more

SEC Focuses on Fair Valuation in Recent Enforcement Cases

by Dechert LLP on 12/21/2012

The U.S. Securities and Exchange Commission (SEC) issued an order commencing an administrative proceeding against the former members of the boards of directors (Boards) of five registered investment companies on December 10,...more

6 Results

| Page: of 1 | WORKING...

View per page

Home

Legal News

Find a Lawyer

Browse Subjects

Subscribe

Pro Services

For Reporters