Valuation: Best Practices and Fiduciary Standards
1:15 PM – 2:30 PM
Thursday, May 17
Recent market events offer valuable lessons regarding the need for effective policies and controls addressing the timely and accurate valuation of securities and other investments. Valuation and pricing should be an area of prime concern to minimize your legal, regulatory and operational risk. This presentation will emphasize the “best practices” that the SEC staff has identified during examinations, highlight practices that have precipitated SEC enforcement actions and provide guidance about policies and procedures that will protect your firm and satisfy your fiduciary obligations to your clients.
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