News, Comment & Analysis results for Securities and Exchange Commission

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

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

Comment & Analysis results for Securities and Exchange Commission