5f. IA/IC/PF – Pricing and Valuation Models (Intermediate)

This session will address 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.  Speakers will discuss case studies to understand the more complex and complicated processes of fair valuation, matrix pricing, and pricing of complex securities.

Learning Objectives:

  • Understand legal and regulatory requirements relating to valuation
  • Study valuation models for registered investment companies and private funds
  • Discuss applications of recent SEC guidance, enforcement actions and lessons learned
  • Discuss best practices for third party service provider oversight, fixed income pricing and fair valuation

Intermediate                        Program Level: Date: October 20, 2020 Time: 10:00 am - 11:15 am Barry Greenberg Scott Sherman

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