News, Comment & Analysis results for Securities and Exchange Commission
US Private Markets Platform Raises $77 Million, Eyes Fresh Expansion
We have previously spoken to Yieldstreet – headquartered in New York – about the changing way
US Treasury Delays AML, CTF Regulations For Two Years
Despite the delay, RIAs are urged to begin the process of complying with requirements for the new
Private Market Assets In Your 401(k)? Trump Might Put That On The Menu
The move, if it happens, adds another twist to debate on how wide access should be made to private
RIAs Face "Added Burdens" As Deadline For New AML Rule Looms
Delving into the details, we report that forthcoming and formidable US regulatory requirements mean
Who's Moving Where In Wealth Management? – Dechert, Bleakley, UBS, Osaic, Others
The latest senior moves in the North American wealth management sector.
Advisors Cautiously Welcome US Accredited Investor Rule Change
At a time when alternative investment access is all the rage – not always without skeptical
Alternatives Face Mounting Scrutiny, Skepticism
In the first of two articles looking at the growing use by HNW, affluent and even retail investors
Wealthfront Starts Journey Toward IPO
In September 2022 Wealthfront and UBS agreed to end a previously announced deal. The robo-advisor
Are Family Offices The Next Liquidity Crisis?
The author argues that while family offices have historically operated without too much regulatory
iCapital CEO On New Partnerships, Blockchain And Wider Alternative Asset Access
This news service recently caught up with the CEO and chairman of iCapital, a business that has