Tag: valuation

The valuation of assets held by advisers has been a key issue for the Commission. Likewise, insider trading on political intelligence is also a focus of SEC Enforcement. The Commission’s latest case involving an adviser involves each of these key …

U-Turn Valuations, Insider Trading Yield Adviser SEC Sanctions Read More »

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The Commission lost virtually all claims in an asset valuation case brought against a fund and two of its officials. The action was one of several brought as part of the Commission’s Aberrational Performance Inquiry which, prior to this action, …

SEC Asset Valuation Claims Rejected on Summary Judgment Read More »

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