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patterns Directors can reduce this risk by having management certify that they are not aware of any breaches in the personal trading policy They can include this in the annual attestation of compliance with other company policies such as confidentiality and computer use certifications Directors can encourage counsel to proactively share concerns and, at least annually, directly question and document responses from counsel and the compliance officer about their knowledge of any policy breaches
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Pricing and Valuation One of the oldest tricks in the book is to mismark a portfolio, making it seem more valuable than it really is As an example, Piper Capital management was found to have overridden dealer quotations with their own valuations in a plan to gradually lower net asset value instead of recognizing the rapid and deep losses actually experienced It seems that by gradually reducing the NAV, the fund hoped to avoid a corresponding upswing in redemption activity The Commission revoked Piper s registration and caused it to pay over $2 million in penalties Directors should inquire if securities and NAV are priced and calculated by a back-office team independent from the portfolio manager If the managers themselves are calculating NAV, there is potential for manipulation
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Antilaundering Money laundering is the introduction of illegally gained funds into the legitimate financial system in an attempt to cover up their origin The problem is significant as the International Monetary Fund has stated that the aggregate size of money laundering in the world could be somewhere between 2 percent and 5 percent of the world s gross domestic product The key is to have an entry into the legitimate financial system The recent investigation into Riggs Bank shows how some of the most powerful people in the world launder their ill-gotten gains Washington DC based Riggs once billed itself as the most important bank in the most important city in the world More recently, it
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has come under fire by the US Senate s Permanent Subcommittee on Investigations for failing to monitor suspicious transactions, even in the wake of the terrorist attacks on September 11, 2001 One of the more prominent accounts at issue is that of General Augusto Pinochet, the former dictator of Chile Pinochet took power forcibly in 1973, and opened accounts at Riggs Bank in 1985 The Chilean military has notoriously low wages, even for a general (never more than $40,000), but somehow, Pinochet amassed as much as $8 million in the accounts6 In a report issued by US Senate investigators, it is alleged that Riggs Bank officials not only accepted the money, but helped Pinochet hide it for years by moving it around the world, even after his human rights accusations and arrest became well known Some other accounts at Riggs that concern regulators include those of the leaders of Equatorial New Guinea who have amassed approximately $700 million and over 150 Saudi Arabian Embassy accounts that lacked appropriate background information on their owners7 One defense against laundering is the know your customer rules It is important that a financial institution not only know who their customers are, but also the source of their money Clearly, General Pinochet would have had difficulty explaining the source of his wealth
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Books and Records This category generally concerns keeping current books and filing regulatory reports on time as well as the security over personal client information to prevent unauthorized use Books and records can be altered or improperly used to hide unethical or illegal activity Take Security Trust Corporation as an example STC enabled the hedge fund Canary Partners to trade after hours by disguising the trades as retirement accounts Prior to recent rule proposals, brokers and managers of retirement funds, who might receive an order at 3:59 PM, but still needed to buy the shares from the fund, would be allowed to complete the transaction, even if received by the fund after 4 PM If current proposals are adopted these investors will receive the closing price the following day The Office of the Comptroller shut down STC costing some 130 employees their jobs, and Eliot Spitzer brought charges against management Obviously, proper internal
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