News, Comment & Analysis results for Securities and Exchange Commission

Alt Investments
July 3, 2024

Secondary Markets For Family Offices – A View From BNY

The author of this article gives a positive view of the market for secondary investments in areas

Strategy
May 28, 2024

Mass-Affluent, Lower HNW Market – Are Wealth Managers, Banks Cracking The Code?

In this news analysis, the editor examines whether firms have figured out decisively how to cater

Compliance
April 12, 2024

US Regulators Scrutinize Morgan Stanley's Wealth Client Regime – Media

A cluster of US regulators are reportedly checking into the measures Morgan Stanley has taken to

Alt Investments
March 29, 2024

HNW Investors Must Raise Their Private Markets Ambitions – Hightower Advisors

This news service interviews the Chicago-headquartered firm about the need for advisors to educate

Compliance
March 8, 2024

Proposed AML Changes For Advisors – What Wealth Industry Needs To Know

This article – from law firm Squire Patton Boggs – charts important new developments in the

People Moves
February 21, 2024

Summary Of North American Executive Moves – January 2024

A roundup of moves and appointments in the North American wealth sector. There were prominent

Strategy
January 19, 2024

A Walk Around Executives’ Deferred Compensation 

This guest article considers a variety of long-term compensation models in management roles in

Family Office
January 15, 2024

There Is No Such Thing As A Family Office – Part 1

With this provocative title, this article explores the terminology of the family office space and

Compliance
January 11, 2024

SEC Approves Bitcoin ETFs But Doesn't Uncork Champagne

While the chair of the regulator was careful to stress the risks of bitcoin and the wider sector,

Alt Investments
January 9, 2024

Bitcoin Market Sizzles Ahead Of Expected SEC Announcement

While this news service doesn't cover the daily dramas of cryptocurrencies, we do monitor the ways

Comment & Analysis results for Securities and Exchange Commission