News, Comment & Analysis results for Securities and Exchange Commission
SEC Punishes Banks, Brokers Over Messaging Apps
The use or misuse of messaging apps such as WhatsApp raises questions about appropriate
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
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
Credit Suisse Agrees To Settle Archegos Lawsuit – Report
The saga was among a number of setbacks that the bank has suffered in recent years.
Get Ready For More Assets To Be "Financialized"
We talk to a business using cryptocurrency and blockchain tools to make diamonds a more efficient
Compliance Corner: SEC Charges Executives, RIA For $75 Million Alleged Fraud
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
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
SEC Pushes Firms To Show Performance, Executive Pay Links
Activist investors often target executive pay as a reason for removing underperforming bosses, and
Citigroup Winds Down Russian Consumer Bank
The bank said it has explored multiple strategic options to sell these [Russia] businesses over the
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.