Houston hedge fund manager George Jarkesy Jr. on Tuesday lost his bid to stop an SEC administrative proceeding on constitutional grounds when a federal appeals court dismissed the case.
September 29, 2015 | 03:55 pm
The Securities and Exchange Commission lost another bid to stop a money manager’s lawsuit challenging the use of administrative proceedings.
September 28, 2015 | 03:55 pm
Credit Suisse Securities will pay $4.25 million to settle charges that the firm filed insufficient information with the SEC about its customers’ trades.
September 28, 2015 | 03:48 pm
The Securities and Exchange Commission will update its rules governing administrative proceedings, which have been the subject of recent court challenges.
September 25, 2015 | 03:18 pm
The SEC voted 5-0 on Tuesday to approve a proposal that would establish new rules on liquidity risk transparency for mutual funds and exchange-traded funds.
September 22, 2015 | 01:37 pm
A focus on putting capital to work for long-term wealth creation rather than short-term gains is experiencing a resurgence across the globe.
September 21, 2015
Eighty-five percent of officials at North American asset owners and financial services firms said they have either no understanding or limited knowledge of upcoming Securities and Exchange Commission ...
September 21, 2015 | 03:42 pm
Regulators are taking a closer look at how private equity managers assess fees paid by limited partners. The misallocation of fees is the controversy du jour in the private equity space.
September 21, 2015
The Securities and Exchange Commission lost one of its latest bids to rebuff legal challenges to its use of administrative proceedings.
September 18, 2015 | 03:35 pm
A Ukrainian-based investment bank and its CEO agreed to pay $30 million to settle insider-trading claims from the SEC that the firm profited from non-public corporate information taken from hacked...
September 14, 2015 | 02:49 pm
Robert Cohen and Joseph Sansone were named co-chiefs of the market abuse unit at the Securities and Exchange Commission's Division of Enforcement, the SEC said in a...
September 10, 2015 | 03:56 pm
Hedge fund and other private fund managers will have to revisit whether they know enough about their clients under recently proposed anti-money laundering rules, experts said.
September 07, 2015
An investment firm that is being acquired by Blackstone Group agreed to settle a U.S. regulator's claims that it improperly paid brokers to sell its mutual funds.
September 04, 2015 | 04:10 pm
A constitutional challenge to the Securities and Exchange Commission’s use of administrative proceedings in enforcement cases was rebuffed Monday by a three-judge panel in the 7th U.S. Circuit...
August 25, 2015 | 04:00 pm
Defined contribution plan executives must ask many questions of service providers about the scope of their cybersecurity policies and practices. The questions should be asked not only of current...