David DeCarlo

David DeCarlo

Latham & Watkins LLP

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Putting Teeth Into the Compliance Rule: SEC Imposes US$5 Million Penalty on Investment Adviser for Valuation Practices

The SEC’s penalty against fixed-income manager Deer Park signals increased vigilance over investment advisers’ valuation policies for client assets. On June 4, 2019, Deer Park Road Management Company, LP (Deer Park or the...more

7/10/2019  /  Asset Valuations , Business Valuations , Civil Monetary Penalty , Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Investment Portfolios , Securities and Exchange Commission (SEC)
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