News, Comment & Analysis results for Securities and Exchange Commission

Technology
November 27, 2023

How Sam Altman-OpenAI Saga Affects RIAs

Our US correspondent takes a detailed look at the drama around the leadership of OpenAI and what

Compliance
November 15, 2023

Compliance Corner: SEC Sets Out Busy Year For Fines, Enforcement Actions

The US regulator has been flexing its muscles on a number of fronts, affecting sectors including

Compliance
November 13, 2023

Compliance Corner: Buckler, LPL Financial

The latest compliance news: regulatory developments, punishments, guidance, permissions, new

Compliance
September 25, 2023

Compliance Corner: Securities & Exchange Commission Acts In Fiduciary Duty Case

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Legal
August 30, 2023

Learning The Legal Lessons From “Succession”

In this detailed analysis of legal questions generated by the HBO television drama, law firm Squire

Offshore
July 27, 2023

Panama Papers "Whistleblower" Sues Germany For Reward; ICIJ Says Doesn't Pay For Information

The person(s) who allegedly fired the warning about the huge trove of data that eventually was

Compliance
July 18, 2023

Art Market Goes Digital: Risk, Opportunity, And Regulatory Concerns For Wealth Managers

The authors argue that while NFTs offer exciting opportunities for investment, they also present

Compliance
June 20, 2023

US Lawmakers Open Path To Change Accredited Investor Regime

While not yet a done deal, the vote in Congress a fortnight ago means that a system which

ESG
May 30, 2023

Insurers Continue Quitting Net Zero Pact

A cluster of insurance firms, convened by the United Nations and which has operated since 2021, has

Banking Crisis
May 18, 2023

Filing Suggests That UBS "Rushed" Into Credit Suisse Deal – Report

The controversial takeover of Credit Suisse continues to cause speculation about the thinking

Comment & Analysis results for Securities and Exchange Commission