3b. IA/IC/PF – Reassessing Pricing and Valuation Models


This panel will discuss recent valuation issues and priorities to provide best practice solutions and to ensure compliance with the rules, regulations, guidance, and enforcement actions. It will provide an overview of the pricing model for registered investment companies and private funds and discuss the more complex and complicated processes of fair valuation, matrix pricing, and pricing of complex securities.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Legal and regulatory requirements relating to valuation
• Valuation models for registered Investment Companies and Private Funds
• Recent SEC guidance, enforcement actions and lessons learned
• Third party service provider oversight, best practices and fixed income pricing and fair valuation

Sponsored by:

Panel                        Program Level: Intermediate Date: October 21, 2019 Time: 2:10 pm - 3:25 pm Jeff Himstreet Larry Nakamura