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Advisers Charged with Valuation, Compliance, Oversight Failures

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June 27, 2022

Keywords: Mutual Funds, SEC Enforcement, Valuation

Categories & Topics: Business Ops/HR, Compliance, Enforcement, Registered Funds, Valuation

SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules

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May 04, 2021

Keywords: Custody, Derivatives, Mutual Funds, SEC Investment Management, Valuation

Categories & Topics: Business Ops/HR, Compliance, Custody, Private Funds, Registered Funds, Valuation

SEC Investment Management Seeks Input on Cross Trading Rule Amendments

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March 24, 2021

Keywords: Elad Roisman, Fair Value, Investment Company Act, Valuation

Categories & Topics: Compliance, Valuation

SEC Order Permits Alternative Mutual Fund to Suspend Redemptions for Inability to Value Assets and Strike a Net Asset Value

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March 01, 2021

Keywords: CPO, Mutual Funds, Registered Funds, Valuation

Categories & Topics: Business Ops/HR, Compliance, Registered Funds, Valuation

Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges

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January 05, 2021

Keywords: Compliance, Compliance Policies, SEC Enforcement, Valuation

Categories & Topics: Compliance, Compliance Programs, Valuation

SEC Investment Management Director Blass Discusses Regulating for the Future

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October 05, 2020

Keywords: Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, ETFs, Valuation

Categories & Topics: Compliance, Electronic Delivery, Valuation

Adviser Fined for Misleading Investors by Overvaluing MBS Positions

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May 06, 2020

Keywords: SEC Enforcement, Valuation

Categories & Topics: Compliance, Enforcement, Valuation

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