Category: Articles & Publications

COMPLIANCE WATCH: Valuation An Issue In SEC Alleged Fraud Case

Dow Jones Newswires, June 9, 2009

Confirming valuations of securities with more than one source has become a best practice among many investment advisors – and one that could become more prevalent if the SECís proposal, which would make third-party verification mandatory, is implemented. Guy F. Talarico, CEO of Alaric Compliance Services, LLC, was quoted as saying “without third party review, investors run the risk that investments arenít being reported accurately….There have to be counterweights.”

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