News, Comment & Analysis results for Securities and Exchange Commission

People Moves
May 18, 2022

Who's Moving Where In Wealth Management? – The Colony Group, SVB Private, Others

The latest moves and appointments in the North American wealth management industry.

People Moves
May 17, 2022

BancTrust Creates New Broker-Dealer Affiliate

As part of the new development, BancTrust has named a group of New York-based investment figures to

ESG
May 11, 2022

Entrepreneur's Fund Challenges "Woke" Corporations – Media

The trend of ESG investing and corporate genuflection to concerns about equality and diversity

ESG
May 3, 2022

You're Out Of Line Over Climate Disclosure Rule, Academics Tell SEC

The trend of becoming more environmentally aware has become a big wealth management issue. Moves by

Technology
April 21, 2022

Keeping Cybersecurity Sharp As Risks Evolve

We talk to a cybersecurity expert in the US about the threats the wealth management sector faces,

M and A
April 7, 2022

CI Financial To Float Up To 20 Per Cent Of US Wealth Arm

The group has set a blistering pace in the speed and scale of its spending spree on US wealth

ESG
March 23, 2022

SEC Fires Starting Gun On ESG Disclosures; Mixed Reactions

While a US story, the actions by the regulator of the world’s largest economy will spark

Legal
March 2, 2022

Archegos Pushes For Legal Settlement As Probes Continue – Report

Morgan Stanley, Nomura, UBS, Credit Suisse, MUFG and Mizuho were involved in the saga. The banks,

Legal
February 18, 2022

Allianz Expects $4.2 Billion Charge From Fund Woes

The Germany-based group said that discussions with remaining plaintiffs and legal authorities in

Compliance
February 18, 2022

Global Financial Think Tank Frets Over Crypto-assets

The global crypto-assets market is now measured in trillions of dollars, although not yet more than

Comment & Analysis results for Securities and Exchange Commission