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SEC focuses on fair valuation in recent enforcement cases

Dechert LLP

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USA December 20 2012

The U.S. Securities and Exchange Commission (SEC) issued an order commencing an administrative proceeding against the former members of the boards of directors (Boards) of five registered investment companies on December 10, 2012, charging them with alleged violations of the Boards’ respon-sibilities to fair value portfolio securities for which market quotations were not readily available (RMK Board Proceeding).1

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Dechert LLP - Jane A. Kanter, Jack W. Murphy, Robert A. Robertson , Michael L. Sherman and Brian S. Vargo

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