News, Comment & Analysis results for The Securities and Exchange Commission
Shareholder Advocacy: Engagement Under Pressure
The author of this article points out that the regulatory landscape is evolving and growing more
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
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
A New Cybersecurity, Resilience Regime With Global Impact – DORA
New European Union legislation took effect this month that is designed to make financial
Franklin Templeton Sharpens Wealth Arm's Alternative Investments Focus
The US-listed firm says it is one of the largest managers globally of alternative investments
Franklin Templeton Suffering Big Inflows Amid Subsidiary Probe – Report
At the center of the case is an investigation into Western Asset Management, a subsidiary of
LPL Fires Arnold For Violating Code Of Conduct
The US financial advisory sector is digesting the news that the president and CEO of the country's
A Proposed Customer Identification Program And Privacy Concerns
A difficult balance must be struck between complying with laws aimed at foiling money launderers