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Valuation Enforcement Investment Company Act of 1940

Troutman Pepper

Lessons Learned From The Morgan Keegan Case, Part I – Valuation

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The U.S. Securities and Exchange Commission (SEC)’s recent settlement in the latest chapter of the enforcement proceeding involving Morgan Keegan provides important guideposts on two of the hottest regulatory topics in the...more

Dechert LLP

Former Morgan Keegan Directors Settle Valuation Case

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The U.S. Securities and Exchange Commission issued a cease and desist order on June 13, 2013 (the “Order”) against former members of the boards of directors (the “RMK Directors” or the “RMK Boards”) of five Regions Morgan...more

Dechert LLP

SEC Focuses on Fair Valuation in Recent Enforcement Cases

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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

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