Tag: directors

The SEC filed its third asset valuation action in recent weeks. This time the proceeding named as Respondents eight mutual fund directors for failing to properly oversee the valuation of assets in the funds during the market crisis. In the …

SEC Charges Fund Directors In Its Third Recent Valuation Action Read More »

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This is the third in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability. Directors and officers (cont) While enforcement officials are focusing on the …

Part III: How Corporate Officials Can Get A Good Night’s Sleep Despite Current SEC Enforcement Trends Read More »

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