News, Comment & Analysis results for Securities and Exchange Commission

ESG
February 16, 2022

Editorial Comment: Regulators, Fund Raters Go After Greenwashing

The phenomenon of "sustainable" and "green" investing is now well established, and regulators are

Compliance
February 10, 2022

Compliance Corner: SEC

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

Compliance
February 8, 2022

Deutsche Reportedly Overhauling Electronic Communications

The reported move by the German bank to improve recording of electronic communication channels

ESG
January 24, 2022

Franklin Templeton Appoints Investing and Sustainability Veteran

By appointing the high-profile veteran, the US investment manager is joining other large US asset

M and A
January 12, 2022

Deals Of The Day: The Latest In Wealth Management M&A – Mercer, Merit, Laird Norton

The latest deals and transactions in and around the North American wealth management sector.

Compliance
January 11, 2022

SEC Mulls Greater Disclosures From Private Companies – Report

A broad theme in investment over the past decade and beyond has been a relative shift from public

People Moves
January 4, 2022

Who's Moving Where In Wealth Management? – Bank Of Hawaii, KKR

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

People Moves
January 3, 2022

Summary Of Executive Moves In North American Wealth Management - November 2021

A roundup of moves in and around the North American industry through November.

Strategy
December 24, 2021

Editorial Comment: Reflections On Another Turbulent Year, Looking Ahead

Some late-December musings about what the year has meant for the industry and thoughts about what

Compliance
December 23, 2021

Most Advisors Don’t Disclose Fiduciary Status On Forms - That's A Big Deal

An important regulatory form known for short as CRS is designed so that broker-dealers and RIAs

Comment & Analysis results for Securities and Exchange Commission