SEC

It’s being able to say to the investment team, ‘If you’re going to make certain statements about considering ESG in the investment process, then you ...

'At the date of this letter, however, audit and valuation reports have not yet been completed by GPB’s outside professionals...'

Two top SEC staffers have issued a fresh statement on blank-check companies, yet another sign that regulators are worried about irrational exuberance in the booming ...

The Division of Examinations’ new ESG risk alert “needs some context,” Commissioner Hester Peirce says in a new statement of her own. Peirce says she ...

Gary Gensler was sworn in on Saturday as the new SEC chairman, this after the U.S. Senate approved his nomination. The Senate vote was 53-45. ...

GPB Capital, the private equity fund adviser at the center of multiple fraud investigations, says it’s down to its last few million dollars. GPB once ...

Would-be SEC chairman Gary Gensler had a fairly sunny day of it at his Senate confirmation hearing, but there was a brief rumble that, for ...

The principals of an Indiana private fund adviser have agreed to settle SEC accusations that they played fast-and-loose with the fund’s valuations and failed to ...

A former college basketball player tried to be an all-star for his pro clients and wound up fouling out, the SEC says in a new ...

A federal grand jury has indicted a portfolio manager whom prosecutors say reaped millions in a years-long insider trading scheme that included leaking details of ...