Articles

SEC Expands Police Squad – Fund Violations Surpass 50% The Securities and Exchange Commission (SEC), in connection with the Dodd-Frank Act, has a dedicated team

If MOM says NO, the deal don't go! Corporate transactions are on the rise, and increased activity results in an increase in shareholder challenges. A

Chicago, Illinois – March 2014 – Houlihan Capital, a financial advisory and boutique investment banking firm, that provides independent and defensible opinions of value that

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) previously named valuation practices as one of its areas of focus in both investment advisor and

SEC Increases Scrutiny of Valuation of Alternative Fund Investments A recent Wall Street Journal article highlights that the U.S. Securities and Exchange Commission and other

Pursuant to both AIMA’s Guide to Sound Practices for Hedge Fund Valuation and AIFMD, the Manager of a Fund-of-Funds (“FoF”) is required to ensure that

Andrew Smith releases article discussing Investor Demands are Driving Valuation Best Practices and Transparency Investors have clearly signaled that they will invest only with fund

With the Alternative Investment Fund Managers Directive (“AIFMD”) having entered into force on July 22, 2013, Alternative Investment Fund Managers (“Managers”) are now responsible for

SEC Enforcement Action Against Former Oppenheimer Manager On August 20, 2013, Federal securities regulators accused Brian Williamson, a former portfolio manager at Oppenheimer & Company