News & Analysis as of September 22, 2024

Hedge Funds › Generally Accepted Accounting Procedures

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Investment Management Special Report - 2017-18 Compliance Developments & Calendar for Private Fund Advisers

Akin Gump Strauss Hauer & Feld LLP on 10/12/2017

Introduction - Despite an anticipated de-regulatory push, there are significant new regulatory concerns for investment advisers to address in connection with their annual review of their compliance manuals. ...more

Reported Criminal Probes Regarding Bond Valuations Highlight the Importance of Valuation Procedures

Proskauer - The Capital Commitment on 6/1/2017

According to recent news reports, the DOJ and the SEC are investigating the possible improper use of third-party broker quotes by hedge fund managers to value illiquid debt securities in their portfolios. Prosecutors are...more

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on 8/20/2015

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

SEC Finding Some Hedge Funds And Private Equity Groups Are Not Complying With Custody Rule

Stinson - Corporate & Securities Law Blog on 3/5/2013

The SEC has issued a Risk Alert on compliance with its custody rule for investment. It notes that with respect to advisers to audited pooled investment vehicles, its examinations found some failed to meet requirements to...more

The SEC Is Scrutinizing Asset Valuations—Are You Ready?

Troutman Pepper 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

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