News, Comment & Analysis results for Securities and Exchange
Financial Regulators Turn Up Heat On Miscreants
The reports looked at a range of different types of financial misconduct, failure and outright...
Singapore's Cautious Development Path As A Crypto Hub
The writer of this article, who looks at the way that Singapore's regulators go about governing the...
Mass-Affluent, Lower HNW Market – Are Wealth Managers, Banks Cracking The Code?
In this news analysis, the editor examines whether firms have figured out decisively how to cater...
Managing Autocracy Risk Is Big Wealth Protector
A quick perusal of news headlines underscores why the risk of holding firms exposed to...
SEC Approves Bitcoin ETFs But Doesn't Uncork Champagne
While the chair of the regulator was careful to stress the risks of bitcoin in the wider sector,...
Learning The Legal Lessons From “Succession”
In this detailed analysis of legal questions generated by the HBO television drama, law firm Squire...
Panama Papers "Whistleblower" Sues Germany For Reward; ICIJ Says Doesn't Pay For Information
In an unusual turn events, the person who claims to have fired the alert about the huge trove off...
Crypto Firms Look Elsewhere Amid US SEC Woes
After the jarring experiences of crypto firms in 2022, regulators are tightening controls –...
The ESG Phenomenon: Insurers Continue Quitting Net Zero Pact – Reports
A cluster of insurance firms, convened by the United Nations and which has operated since 2021, has...
Filing Suggests That UBS "Rushed" Into Credit Suisse Deal – Report
The controversial takeover of Credit Suisse continues to cause speculation about the thinking...
Comment & Analysis results for Securities and Exchange
SEC’s Family Office Ruling Failing To Boost MFO Business
Multi-family offices aren’t expecting an onslaught of single-family offices beating down their...
Comment: Dodd-Frank And The SEC's Revised Final Rule Are Bad News
Single family offices dodged a bullet with the Securities and Exchange Commission's final rule for...
Defining The “Modern” Family Office? – Industry Weighs In On SEC Proposal
More than 80 industry insiders weighed in on the Securities and Exchange Commission’s proposal on...
Goldman Sachs SEC Case Divides Wealth Managers
How the Securities and Exchange Commision's case against Goldman Sachs will impact the wealth...
Understanding New SEC Hedge Fund Rules
On December 2, 2004 the US Securities and Exchange Commission issued, after a considerable delay,...
NASD details greed in IPO abuse, implicates CSFB Private Client Services Group
Credit Suisse First Boston has now officially settled with the National Association of Securities...
Julius Baer Poised for Landmark in US Mutual Fund History
The American Securities and Exchange Commission has agreed, in principle, to allow Julius Baer...
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