Regulation

An industry executive says the regulator wants to ensure that expenses aren’t excessive and investors aren’t billed inappropriately.

The agency's Strategic Plan for 2018-22 addresses the transformations in capital markets and seeks to update regulation.

Non-US LPs in US funds should expect 'additional scrutiny' during reviews and investigations by a beefed-up Committee on Foreign Investment in the US.

Each advisor was ordered to pay a $75,000 fine but none admitted any wrongdoing.

SEC veteran James Reese had been serving as acting chief risk and strategy officer for the Office of Compliance Inspections and Examinations.

Reforms to Belgium’s private privak fund structure will make private funds more attractive investment propositions for LPs, according to a leading lawyer in the country.

The new tax laws brought in a withholding tax on partnership interests held by non-US people. James McCredie of Macfarlanes explains the implications.

In Duff & Phelps' poll of 124 senior financial services executives, 95% said they expect regulations to bump up their costs this year.

A loss for the regulator in Lucia v SEC would plunge dozens of cases into uncertainty and could put a halt to the SEC's sanctioning powers.