Last month, Core Compliance & Legal Services, Inc. (“CCLS”) published its monthly Risk Management Update (“RMU”), written by Lead Sr. Compliance Consultant, Tina Mitchell. Ms. Mitchell’s RMU, titled Valuation – What Investment Advisers Should Know, provides an overview of the regulations and responsibilities of investment advisers pertaining to the valuation of client holdings and assessment of advisory fees based on such valuations.
The RMU covers the following:
- The Role of the Investment Adviser
- Compliance Steps for Valuation and Fee Assessment
- SEC enforcement cases against firms
Click here to learn more about valuation and how it may affect you firm. Don’t forget to browse our RMU library, which includes insightful articles on a wide range of industry topics.
For more information on this and other related subjects, please contact us at firstname.lastname@example.org or (619) 278-0020.