News, Comment & Analysis results for Securities and Exchange Commission

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

Legal
December 13, 2022

FTX Founder Arrested In Bahamas; US Files Charges

The stunning demise of FTX has come in what has been a difficult year for the wider cryptocurrency

Alt Investments
December 13, 2022

New Outsourced CIO Business Aims To Fill A Gap

The role of the outsourced chief investment office is an increasingly well-understood one. A new

Compliance
December 6, 2022

Compliance Corner: SEC, Goldman Sachs

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

Compliance
October 31, 2022

Compliance Corner: Securities And Exchange Commission, List Of Unregistered Entities

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

Compliance
October 28, 2022

SEC Turns Spotlight On RIAs' Outsourcing

The regulator wants to force Registered Investment Advisors to ensure all outsourced functions meet

Compliance
September 28, 2022

SEC Punishes Banks, Brokers Over Messaging Apps

The use or misuse of messaging apps such as WhatsApp raises questions about appropriate

Comment & Analysis results for Securities and Exchange Commission