News, Comment & Analysis results for Securities and Exchange Commission

Compliance
August 31, 2021

Eight US Wealth, Investment Houses Punished For Cybersecurity Lapses

The cases underscore how cybersecurity is now a major challenge for an industry overseeing billions

Compliance
August 30, 2021

Compliance Corner: SEC, Digital Technology Consultation, Probe

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

Compliance
August 27, 2021

Compliance Corner: SEC

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

ESG
August 27, 2021

DWS Defends ESG Credentials Amid US Probe Report

DWS this morning commented on the media coverage of the case, saying that it strongly rejected the

People Moves
August 27, 2021

Who's Moving Where In Wealth Management? - SEC, Concurrent, Raymond James

The latest senior moves in wealth and asset management from across the US.

Investment Strategies
August 25, 2021

Blank Check Companies Retain Momentum, Europe, UK Increasingly Active

IQ-EQ, the investor services group, has a ringside seat for observing trends in the SPACs space.

Compliance
August 25, 2021

Compliance Corner: US, Singapore, China

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

ESG
August 13, 2021

Clock Starts Ticking Toward Boardroom Diversity

For most US companies, the target would be to have at least one woman director, as well as a

ESG
August 12, 2021

Public US Firms Must Prepare For Mandatory Climate Risk Disclosures

The powerful US regulator is mulling the idea of forcing US public companies to disclose climate

Compliance
August 9, 2021

Family Offices Must Talk With Lawmakers Over Regulatory Threat

Regulatory threats to family offices in the US stemming from the political reaction to the Archegos

Comment & Analysis results for Securities and Exchange Commission