News, Comment & Analysis results for Securities and Exchange Commission
Archegos Pushes For Legal Settlement As Probes Continue – Report
Morgan Stanley, Nomura, UBS, Credit Suisse, MUFG and Mizuho were involved in the saga. The banks,
Allianz Expects $4.2 Billion Charge From Fund Woes
The Germany-based group said that discussions with remaining plaintiffs and legal authorities in
Global Financial Think Tank Frets Over Crypto-assets
The global crypto-assets market is now measured in trillions of dollars, although not yet more than
Editorial Comment: Regulators, Fund Raters Go After Greenwashing
The phenomenon of "sustainable" and "green" investing is now well established, and regulators are
Compliance Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
Deutsche Reportedly Overhauling Electronic Communications
The reported move by the German bank to improve recording of electronic communication channels
Franklin Templeton Appoints Investing and Sustainability Veteran
By appointing the high-profile veteran, the US investment manager is joining other large US asset
Deals Of The Day: The Latest In Wealth Management M&A – Mercer, Merit, Laird Norton
The latest deals and transactions in and around the North American wealth management sector.
SEC Mulls Greater Disclosures From Private Companies – Report
A broad theme in investment over the past decade and beyond has been a relative shift from public
Who's Moving Where In Wealth Management? – Bank Of Hawaii, KKR
The latest moves and appointments in the North American wealth management sector.