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SEC's Champ is very comfortable with change
Norm Champ moved around a lot before landing at his current job as the SEC's director of the investment management division, and that's good thing.
Karpati leaving as SEC asset management enforcement chief
Bruce Karpati is stepping down as chief of the SEC enforcement division's asset management unit, the agency announced Thursday.
Falcone agrees to 2-year ban in proposed SEC settlement
Philip Falcone, the hedge fund manager who was sued by U.S. regulators over claims he improperly borrowed client money to pay taxes, has agreed to be barred from acting as an investment adviser for two years.
SEC reaches settlement with Level Global Investors over insider trading
Level Global Investors will pay $21.5 million to settle charges that a top official and several analysts engaged in repeated insider trading. The SEC announced the settlement with the Greenwich, Conn.-based hedge fund management firm Monday.
SEC chairwoman pushing to allow hedge fund advertising — sources
SEC chairwoman Mary Jo White is pushing to adopt a rule allowing hedge funds to advertise in a move consumer advocates say could fail to protect unsophisticated investors, according to two people familiar with the matter.
SEC names co-directors for enforcement
SEC Chairwoman Mary Jo White named Andrew J. Ceresney co-acting director of the agency's enforcement division Monday.
Ex-Simran Capital CEO settles with SEC over charges of defrauding CalPERS
The SEC charged the CEO of Simran Capital Management on Thursday with defrauding CalPERS and lying to other potential clients, according to an SEC news release.
Former Canadian banker settles with SEC over using CPPIB insider information
A former Canadian investment banker who consulted the C$172.6 billion (US$168.8 billion) Canada Pension Plan Investment Board, Toronto, on investment ideas will pay $340,000 to the SEC to settle charges that he used that information for insider trading.
SEC advisory group pushes for enhanced target-date fund rules
The SEC should revisit its proposed rule on target-date funds, the agency's investor advisory committee recommended at its meeting Thursday.
TIAA-CREF asks SEC for OK to skip vote on Israeli divestment
TIAA-CREF officials are asking the SEC to allow it to take no action on a shareholder proposal by activist group Jewish Voice for Peace that would require it to consider divesting from companies that contribute to violations of human rights, including companies whose business supports Israel's ...
Mary Jo White confirmed by Senate for SEC post
The Senate confirmed Mary Jo White as a commissioner with the Securities and Exchange Commission Monday. President Barack Obama is expected to name her as chairwoman shortly.
S.A.C. Capital fund manager indicted as U.S. insider-trading probe widens
S.A.C. Capital Advisors fund manager Michael Steinberg was indicted by a federal grand jury on five counts of conspiracy and securities fraud as the U.S. government’s wide-ranging probe of insider trading at the $15 billion firm got one step closer to founder Steven A. Cohen.
Wyoming CIO on leave after pleading guilty to SEC insider-trading charges
John Johnson, chief investment officer of the $6.5 billion Wyoming Retirement System, Cheyenne, has been placed on administrative review leave after pleading guilty to SEC charges of insider trading from before his tenure there.
Senate committee confirms Mary Jo White to head SEC
Mary Jo White was confirmed to be the next chairwoman of the Securities and Exchange Commission by the Senate Banking, Housing, and Urban Affairs Committee on Tuesday.
SEC makes strides to strengthen oversight
Hedge fund and private equity managers can expect increased attention from the Securities and Exchange Commission, as the agency builds staff expertise in both asset classes and the regulator takes sharper aim at others that present opportunities for abuse.