SEC

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  1. District Court judge declines to stop SEC action against Patriarch Partners

    truePatriarch Partners and CEO Lynn Tilton lost their bid to have a U.S. District Court judge stop an SEC administrative proceeding against them, but are appealing the decision.

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  1. KKR pays nearly $29 million to settle charges with SEC over broken deal fees

    trueKKR has settled SEC charges that the alternatives investment firm had from 2006 to 2011 charged investors in its private equity funds for deals it pursued but did not consummate, the SEC order issued Monday shows.

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  2. SEC on defensive following setback on use of hearings

    trueAn impressive yearlong enforcement winning streak by the Securities and Exchange Commission could come to a screeching halt as the securities watchdog finds itself being forced to defend a preference for in-house administrative hearings over court action.

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  3. SEC files Wells notice against State Street

    trueThe Securities and Exchange Commission is recommending that action be taken against State Street Corp., said an 8-K filing from State Street on Thursday.

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  4. Clients view money managers apart from tainted parents

    trueBanks' admitted wrongdoing seems to have little to no effect on clients of their asset management businesses.

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  5. SEC scrutinizing stapled transactions

    trueGeneral partner-driven stapled transactions, a small but growing corner of the private equity secondary market, are drawing the attention of the Securities and Exchange Commission because of potential conflicts of interest and lack of transparency for limited partners.

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  6. Former SEC chairwoman takes senior adviser position at activist hedge fund

    trueMary Schapiro, former chairwoman of the SEC, was named senior adviser for governance and regulatory matters at activist hedge fund Hudson Executive Capital.

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  7. Sen. Warren calls out SEC chairwoman for 'extremely disappointing' leadership

    trueSen. Elizabeth Warren, D-Mass., on Tuesday criticized SEC Chairwoman Mary Jo White for “extremely disappointing” leadership.

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  8. Making banks accountable

    truePension funds, endowments, foundations and other asset owners — victims of manipulation of foreign exchange prices by four big banks and interest rate benchmarks by another — must demand reimbursement for their losses following the guilty pleas of the banks to criminal charges concerning the ...

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  9. SEC brings back former investment management director as chief of staff

    trueAndrew J. “Buddy” Donohue was named chief of staff at the Securities and Exchange Commission, spokesman Kevin Callahan said.

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  10. SEC charges Gray Financial Group for defrauding public pension funds

    trueThe Securities and Exchange Commission announced fraud charges Thursday against Gray Financial Group for allegedly selling unsuitable investments to the $1.3 billion Atlanta General Employees’ Pension Fund and pension funds for the city’s firefighters and police officers, as well as the MARTA/ATU ...

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  11. SEC grants waivers to banks settling criminal cases

    trueThe Securities and Exchange Commission has granted waivers to the five banks allowing them to continue to serve as investment advisers and to issue securities after settling criminal charges of manipulating foreign-exchange markets and benchmark interest rates.

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  12. SEC proposes rules requiring more fund disclosure, including on derivatives

    trueThe Securities and Exchange Commission announced Wednesday a series of proposals aimed at modernizing and enhancing data reporting by registered investment companies and investment advisers.

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  13. SEC to propose that mutual funds disclose risk of rate rise

    trueThe Securities and Exchange Commission is set to propose a requirement that mutual fund companies report how vulnerable their bond portfolios are to interest rate changes, said two people familiar with the matter.

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