SEC

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

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

Private real estate’s finance and operating officers face myriad challenges, but many have a common solution, the audience heard at sister publication PERE's CFO/COO Forum.

Granting further exemptions for private fund advisors would undermine transparency, according to the LP advocacy group.

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

GPs could submit to regulations from many states or, if ILPA has its way, comply with a national standard on transparency of fees and expenses.

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.

The regulator's OCIE identified overbilling and other deficiencies in a risk alert that legal experts say is meant to send a signal to the industry.

A former partner at Hong Kong-based Summitview Capital Management faces charges of insider trading.