SEC Streamlines Co-Investment Framework for Regulated Funds
The US Securities and Exchange Commission (SEC) has approved a streamlined framework for co-investments involving certain closed-end funds and business...
SEC
SEC Fines 12 Companies $63 Million for Recordkeeping Failures
Asset and wealth management companies continue to face fines for communication failures with clients under SEC regulations.An administration described as...
SEC Examination Priorities Signal Capital Markets Enforcement
The Securities and Exchange Commission’s Division of Examinations recently released its 2025 priorities. These identify several new or emerging areas...
Europe markets watchdog bids to become EU’s version of SEC
Unlock the Editor’s Digest for freeRoula Khalaf, Editor of the FT, selects her favourite stories in this weekly newsletter.The EU’s...
