SEC: Regulators

In a new settlement order, the SEC says private fund adviser Soteira Capital and its principals, Derek Charles Clark and Laura Santos overcharged performance fees, ...

Remarks Before The Future of Asset Management North America Conference Washington D.C. Sept. 29, 2021 I’d like to thank the Financial Times for putting on ...

Committee recommends 'chaperoned access'

MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...

SEC to be remote through Jan. 3, sources say

States want beneficial owners on Form D

Fund bilked employees, regulators say

Last domino in Sentinel scheme falls

'A regulator who always says "no" is not serving investors well,' Peirce says.

'A lot of fees and potential conflicts inherent,' Chairman says