News, Comment & Analysis results for Securities and Exchange Commission

Financial Results
March 10, 2023

Credit Suisse Delays Annual 2022 Report After Call With US

The bank said its full-year financial results, issued in early February, aren't affected by the

Compliance
March 10, 2023

OPINION OF THE WEEK: WhatsApp, Private Channels And Double-Standards

A year ago, an official organization said that UK government ministers and civil servants should

Compliance
March 9, 2023

Compliance Corner: SEC, Crypto Asset Fraud Allegation

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

People Moves
February 16, 2023

Exclusive – Another CI Financial Advisory Firm CEO Is Out

This news service has learned that a CEO of one of the wealth firms operating under the CI

Compliance
February 15, 2023

OPINION OF THE WEEK: Advisors Must Prepare For Tighter Regulation Over Private Markets

It is possible that private market capital-raising will be less of a "Wild West" arena than some

Tax
February 15, 2023

California's Proposed Non-Grantor Trusts Crackdown Will Backfire Badly – Advisor

FWR talks to a wealth advisor in the Golden State about proposed changes to the taxation of

ESG
February 3, 2023

OPINION OF THE WEEK: What To Say If Clients Aren't Interested In ESG

It is possibly a sign of unchallenged assumptions when clients in certain parts of the world show

Compliance
January 27, 2023

Morgan Stanley Punishes Staff Over WhatsApp Violations – Media

The saga underscores how regulators are concerned that bankers and other financial sector staff

Investment Strategies
January 3, 2023

There's Still SPAC Money To Be Made After Market Cools

We talked to the US investment firm RiverNorth about how it plays the market for special purpose

Compliance
December 22, 2022

Editorial Comment: Danske's Dirty Money Settlement Shows Complacency Isn't An Option

We reflect on how, at the end of 2022, US and Danish regulators imposed a $2.06 billion settlement

Comment & Analysis results for Securities and Exchange Commission