'Whenever you see the SEC taking action across rulemaking, exams and enforcement... it should be seen as a clear signal that this is a big ...
MFA letter comes just a month after the European Commission released a wide-ranging consultation on the future of the bloc’s Sustainable Finance Disclosure Regulation regime
'In the PE world... there are a lot more areas for people to take advantage,' top cop says
Bankers, insurers, real estate firms, syndicated loan companies unite with private fund advocates to make closing arguments
'Managers and their fintech portfolio companies should take note,' expert says
'Each part of the rule is unnecessary, unworkable, and unduly burdensome,' trade groups claim in opening brief
Firm was victim of Hollywood scam, gets credit for prompt remediation
Penalties top $5 billion, Grewal seeks 'three e's'
The SEC announced Oct. 19 its third enforcement action of the year involving violations of the short selling trading rule
EU watchdog confirms efforts are still underway and that ongoing revision to existing EU directive could provide another route to address misleading fund names.