Tag: SEC

The valuation of holdings and assets is a key issue for investment advisers and funds. Incorrectly valuing assets, for example, can over or understate the value of the fund and the fees charged clients. It can mislead shareholders regarding the …

Adviser Charged With Fraud Tied to Valuations Read More »

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See something, say something, is a popular slogan encouraging people to act if they observe something inappropriate. For regulated entities it is more than a popular notion. Those entities have a duty to “say something” if they “see something.” They …

Interactive Brokers Fined Over $38 Million for AML Violations Read More »

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