News, Comment & Analysis results for Securities and Exchange Commission

M and A
October 1, 2021

Multi-Family Offices In M&A Action: Limits and Possibilities

How likely are more multi-family office merger tie-ups and do marriages of such entities make sense

Strategy
September 30, 2021

Alvarium-Tiedemann Merger: Are Its Global Ambitions Realistic?

A US and London-based multi-family office aim to combine, building an organization with significant

Compliance
September 29, 2021

SEC Tightens Screws On SPAC Sector - Report

These "blank-check" companies have thrived in recent years, garnering huge sums in IPOs and

Compliance
September 27, 2021

Compliance Corner: SEC

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

Compliance
September 21, 2021

Compliance Corner: SEC, Coinbase - Report

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

Legal
September 21, 2021

Allianz Top Executive Mulls Early Departure Amid US Probe - Media

As previously reported, US authorities are probing funds run by Allianz that used complex options

Legal
September 13, 2021

US Department Of Justice Probes Allianz Over Funds Losses - Report

The German firm faces at least 25 investor law suits, including those filed by a number of US

Asset Management
September 8, 2021

BlackRock Pushes Into China, Soros Warns Of "Tragic Mistake"

The world's largest investment manager is pushing into the onshore mainland China market, and a

Compliance
September 3, 2021

Compliance Corner: SEC, $2 Billion Crypto Lawsuit

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

Company Profiles
September 3, 2021

Merged Wealth House Eyes Opportunities In HNW Expat Market

We talk to a recently merged business, with footprints in Asia and the US, about the kind of issues

Comment & Analysis results for Securities and Exchange Commission