News, Comment & Analysis results for Securities and Exchange Commission

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

People Moves
September 26, 2022

Summary Of North American Wealth Management Moves – July 2022

July was a relatively brisk month for moves and appointments; one of the standout firms was

Compliance
September 23, 2022

Morgan Stanley Smith Barney Pays $35 Million Over "Astonishing" Client Data Lapse

The story adds to other cases of large financial institutions' lapses over protecting client

Legal
September 20, 2022

Credit Suisse Agrees To Settle Archegos Lawsuit – Report

The saga was among a number of setbacks that the bank has suffered in recent years.

Alt Investments
September 19, 2022

Get Ready For More Assets To Be "Financialized"

We talk to a business using cryptocurrency and blockchain tools to make diamonds a more efficient

Comment & Analysis results for Securities and Exchange Commission