News, Comment & Analysis results for Securities and Exchange Commission
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
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
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
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
Morgan Stanley Punishes Staff Over WhatsApp Violations – Media
The saga underscores how regulators are concerned that bankers and other financial sector staff
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
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
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
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 Corner: SEC, Goldman Sachs
The latest compliance news: regulatory developments, punishments, guidance, permissions and new