SEC

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.

An emerging manager’s historical performance can attract detailed scrutiny from the SEC; here’s how to stay on the right side of the regulator.

GPs need to show they can handle their end-of-life funds when raising a new fund.

Negotiations and arrangements for the remaining portfolio can prove fiendishly complicated when a fund approaches the end of its term. Julie Corelli of Pepper Hamilton considers the challenges

Patriarch Partners' CEO Lynn Tilton placed three CLO funds into bankruptcy earlier this month, the latest move in a 15-year long saga that has included numerous lawsuits and a victory against the SEC.