Tag: Valuation
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges Company Found to Have Used Single Broker Quotes without Sufficient Controls January 5, 2021 The SEC has fined a...
January 05, 2021
Tags: Compliance, Compliance Policies, SEC Enforcement, Valuation
Adviser Fined for Misleading Investors by Overvaluing MBS Positions
Adviser Fined for Misleading Investors by Overvaluing MBS Positions May 6, 2020 A New York-based mutual fund adviser is paying more than $500,000 to settle SEC charges that it...
May 06, 2020
Tags: SEC Enforcement, Valuation
SEC Investment Management Director Blass Discusses Regulating for the Future
SEC Investment Management Director Blass Discusses Regulating for the Future October 5, 2020 Using money market funds and exchange-traded funds (ETFs) as case studies, the SEC’s Division of Investment...
October 05, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, ETFs, Valuation
SEC Proposes Rule for Good Faith Fair Value Determination, Readily Available Market Quotations
SEC Proposes Rule for Good Faith Fair Value Determination, Readily Available Market Quotations Board May Assign Determinations to Fund Adviser May 6, 2020 The SEC voted on April 21...
May 06, 2020
Tags: Fair Value, Investment Company Act, Mutual Funds, Valuation
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