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The weekly news source for investment management legal and compliance professionals

News October 23, 2017 Issue

SEC Settles with Valuation Firm in Latest Example of Gatekeeper Scrutiny

The SEC under former chair Mary Jo White stated quite clearly that it would take enforcement action not only against advisers and funds, but also against those it termed "gatekeepers:" attorneys, accountants, consultants and others. The agency’s recent settlement with a firm providing valuation services shows that scrutiny is alive and well under chair Jay Clayton.

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