News, Comment & Analysis results for Securities and Exchange Commission
Summary Of North America Moves In Wealth Management - October 2020
October was a brisk month for North American moves and hires, with standout changes at iCapital,
Compliance Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
What's New In Investments, Funds? - Guggenheim Partners
The latest offerings in investments, such as funds, structured products, specific programs and
SEC Chairman To Depart
The top man at the US regulator, whose tenure has coincided with a number of challenges and changes
Compliance Corner: SEC, Wells Fargo, Others
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
Let Fundraising Begin: SEC Harmonizes Private Offering Regime
Regulations over how private investments can be offered into the market have been adjusted by the
Compliance Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
Compliance Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
Goldman Sachs Cuts, Recoups Current, Former C-Suite Pay After 1MDB Affair
The Wall Street firm is paying a total of $2.9 billion to worldwide regulators to resolve serious
Regulatory Luminary Named Investment Company Institute CEO
The new CEO of the organization has held senior posts at the Securities & Exchange Commission and