News, Comment & Analysis results for Securities and Exchange Commission
HNW Investors Must Raise Their Private Markets Ambitions – Hightower Advisors
This news service interviews the Chicago-headquartered firm about the need for advisors to educate
Proposed AML Changes For Advisors – What Wealth Industry Needs To Know
This article – from law firm Squire Patton Boggs – charts important new developments in the
Summary Of North American Executive Moves – January 2024
A roundup of moves and appointments in the North American wealth sector. There were prominent
A Walk Around Executives’ Deferred Compensation
This guest article considers a variety of long-term compensation models in management roles in
There Is No Such Thing As A Family Office – Part 1
With this provocative title, this article explores the terminology of the family office space and
SEC Approves Bitcoin ETFs But Doesn't Uncork Champagne
While the chair of the regulator was careful to stress the risks of bitcoin and the wider sector,
Bitcoin Market Sizzles Ahead Of Expected SEC Announcement
While this news service doesn't cover the daily dramas of cryptocurrencies, we do monitor the ways
Who's Moving Where In Wealth Management? – SEC
The latest moves and appointments in wealth management in the Americas.
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 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