News, Comment & Analysis results for Securities and Exchange Commission

Compliance
August 31, 2022

Compliance Corner: SEC Charges Executives, RIA For $75 Million Alleged Fraud

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

Compliance
August 29, 2022

Regulators Imposed Fewer, Smaller Penalties On Financial Miscreants In H1 2022

Figures might suggest that financial wrongdoing fell, but a backlog of cases that piled up during

Compliance
August 26, 2022

SEC Pushes Firms To Show Performance, Executive Pay Links

Activist investors often target executive pay as a reason for removing underperforming bosses, and

Strategy
August 26, 2022

Citigroup Winds Down Russian Consumer Bank

The bank said it has explored multiple strategic options to sell these [Russia] businesses over the

Legal
August 9, 2022

New York Court Overturns Verdict Against UBS In Employee Case

The bank reportedly said it is pleased with the court's decision. A new trial is being planned.  

Compliance
August 1, 2022

Compliance Corner: TradeStation, JP Morgan Securities; UBS Financial Services

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

People Moves
July 20, 2022

Summary Of Wealth Management Senior Moves In North America – May 2022

A roundup of the moves and appointments in the North American wealth management sector during May.

People Moves
July 13, 2022

Who's Moving Where In Wealth Management? – Dechert, EisnerAmper

The latest wealth management moves and appointments in North America.

Alt Investments
July 11, 2022

Regulators Must Craft New Rules For Growing Private Markets

Private market investing has been a constant theme in wealth management over recent years. Are

Alt Investments
July 7, 2022

Regulators Must Craft New Rules For Growing Private Markets

Private market investing has been a constant theme in wealth management over recent years. Are

Comment & Analysis results for Securities and Exchange Commission