News, Comment & Analysis results for Securities and Exchange Commission
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
Compliance Corner: Buckler, LPL Financial
The latest compliance news: regulatory developments, punishments, guidance, permissions, new
Compliance Corner: Securities & Exchange Commission Acts In Fiduciary Duty Case
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
Learning The Legal Lessons From “Succession”
In this detailed analysis of legal questions generated by the HBO television drama, law firm Squire