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Comments on Investment Company Act Cross-Trading Rule 17a-7
The IAA called on the SEC to modernize the Investment Company Act cross-trading rule, recommending that the SEC reverse a new definition of “readily available market quotations,” amend the rule to codify relief related to board oversight, and recognize the protections afforded to fund shareholders by the Advisers Act fiduciary duty.
April 11, 2021
2021 Sample Examination Letter – Boston – Adviser, Valuation
This is a sample SEC examination letter from 2021 from the Boston Regional Office that includes questions on valuation.
January 20, 2021
Comments on SEC Fair Value Proposal
The IAA generally supported the proposal but recommended more flexibility regarding the reporting requirements, making the definition of “readily available market quotation” reflect current valuation practices, and flexibility for a fund board to assign the fair value determination to the fund’s primary adviser or sub-adviser.
July 21, 2020
Liquidity and Valuation: Adapting to Stress in the Credit Markets
Legal, Regulatory & Compliance
April 01, 2008
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