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Asset Valuations › Securities and Exchange Commission (SEC) › Investment Advisers Act of 1940

Proskauer - The Capital Commitment

End of (Fund) Life Issues

Proskauer - The Capital Commitment on

Amid a challenging environment for exits, especially in the wake of the recent market volatility, private fund managers continue to pursue alternative strategies, such as term extensions and liquidity solutions, to ride out...more

Latham & Watkins LLP

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

Latham & Watkins LLP on

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

Goodwin

SEC Settles with Adviser Over Discretionary Valuation Practices and Lack of Cross Trade Procedures

Goodwin on

The SEC settled public administrative proceedings against a registered investment adviser (the “Adviser”) over (i) its exercise of discretion in valuing securities held by a privately offered fund the Advised managed (the...more

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