Anticipated SEC Disclosure Crackdown Underway, Sterne Agee Calms Fears – ValueWalk Premium
hedge funds SEC filings SEC Enforcement

Anticipated SEC Disclosure Crackdown Underway, Sterne Agee Calms Fears

An expected Securities and Exchange Commission (SEC) crackdown that we first reported in ValueWalk April 30 may be underway, but this shouldn’t be cause for concern for shareholders in alternative asset stocks, says a Sterne Agee report.

The issue was recently ignited again when Andrew Bowden, the head of the SEC's exam program, indicated that the SEC has identified "violations of law or material weaknesses in controls over 50% of the time"  in its reviews of funds.  The issues center around hidden fees, misallocation of . . .

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