KKR has settled SEC charges that the alternatives investment firm had from 2006 to 2011 charged investors in its private equity funds for deals it pursued but did not consummate, the SEC order issued ...
June 29, 2015 | 04:25 pm
An impressive yearlong enforcement winning streak by the Securities and Exchange Commission could come to a screeching halt as the securities watchdog finds itself being forced to defend a preference ...
June 29, 2015
The Securities and Exchange Commission is recommending that action be taken against State Street Corp., said an 8-K filing from State Street on Thursday.
June 19, 2015 | 02:12 pm
Banks' admitted wrongdoing seems to have little to no effect on clients of their asset management businesses.
June 15, 2015
General partner-driven stapled transactions, a small but growing corner of the private equity secondary market, are drawing the attention of the Securities and Exchange Commission because of...
June 15, 2015
Mary Schapiro, former chairwoman of the SEC, was named senior adviser for governance and regulatory matters at activist hedge fund Hudson Executive Capital.
June 03, 2015 | 03:24 pm
Sen. Elizabeth Warren, D-Mass., on Tuesday criticized SEC Chairwoman Mary Jo White for “extremely disappointing” leadership.
June 02, 2015 | 03:56 pm
Pension funds, endowments, foundations and other asset owners — victims of manipulation of foreign exchange prices by four big banks and interest rate benchmarks by another — must demand...
June 01, 2015
Andrew J. “Buddy” Donohue was named chief of staff at the Securities and Exchange Commission, spokesman Kevin Callahan said.
May 28, 2015 | 02:51 pm
The Securities and Exchange Commission has granted waivers to the five banks allowing them to continue to serve as investment advisers and to issue securities after settling criminal charges of...
May 21, 2015 | 02:56 pm
The Securities and Exchange Commission announced fraud charges Thursday against Gray Financial Group for allegedly selling unsuitable investments to the $1.3 billion Atlanta General Employees’...
May 21, 2015 | 03:33 pm
The Securities and Exchange Commission is set to propose a requirement that mutual fund companies report how vulnerable their bond portfolios are to interest rate changes, said two people familiar...
May 20, 2015 | 11:37 am
The Securities and Exchange Commission announced Wednesday a series of proposals aimed at modernizing and enhancing data reporting by registered investment companies and investment advisers.
May 20, 2015 | 03:42 pm
Securities & Exchange Commission plans to expand its ongoing alternative investment examination program to other alternative investment managers including credit advisers, infrastructure and timber...
May 14, 2015 | 02:26 pm
SEC examiners will be paying closer attention to how private equity firms handle secondary transactions, Igor Rozenblit said Wednesday at a global private equity conference in Washington.