SEC

The $814 billion Beijing-based investment firm has more than a third of its portfolio in alternative assets.

Only about 5% still charge them, according to a Financial Planning study.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

A bill repealing rule moves on to House floor, while appropriators seek to block funding for the measure.

The agency plans to split the award between just two people who reported the bank’s product-pushing tactics.

A new bill would go further than past attempts to block the Labor Department altogether.

OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.

The move comes the same week that the SEC said it would try to coordinate with the Labor Department on the regulation.

Distributors are no longer content with labeling their products with star investors.

Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”

Assets in products susceptible to the risk of fire sales during a future shock are up 673% since 2000.

Regulators now use deeper dives into specific areas rather than broad probes, experts say.

Corporations, banking trade groups and consumer advocates are looking for favorable legislation from Congress.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

One key factor is the adviser’s tone during the exam – is it conciliatory or defiant? And remember, the examination and enforcement divisions know each other.

With the Labor Department and SEC signaling further potential changes in the regulatory framework, here's what advisers need to know now.

Leading RIA custodian is warning that BIC disclosures, legal liability in second wave of DoL rule could be devastating for small advisers.

Advisers may think their firm’s credibility stems from a big number. That’s not to say they should misrepresent their assets under management, Michael Kitces writes.

An open question is how the latest effort by the agency would coordinate with the Department of Labor.

The investor received 15 months in prison after pleading guilty to wire fraud.