News, Comment & Analysis results for Securities and Exchange Commission

People Moves
December 10, 2020

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
December 7, 2020

Compliance Corner: SEC

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

New Products
December 1, 2020

What's New In Investments, Funds? - Guggenheim Partners

The latest offerings in investments, such as funds, structured products, specific programs and

People Moves
November 17, 2020

SEC Chairman To Depart

The top man at the US regulator, whose tenure has coincided with a number of challenges and changes

Compliance
November 16, 2020

Compliance Corner: SEC, Wells Fargo, Others

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

Compliance
November 13, 2020

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
November 6, 2020

Compliance Corner: SEC

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

Compliance
November 4, 2020

Compliance Corner: SEC

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

Compliance
October 23, 2020

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

People Moves
October 21, 2020

Regulatory Luminary Named Investment Company Institute CEO

The new CEO of the organization has held senior posts at the Securities & Exchange Commission and

Comment & Analysis results for Securities and Exchange Commission