News, Comment & Analysis results for The Securities and Exchange Commission
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
How Project 2025 Might Affect Impact Investors
A strategy of a US think tank to roll back some of the climate change and DEI policies of
OPINION OF THE WEEK: How Independent RIAs Outshine Private Banks
The writer of this article is unafraid to cut to the chase and state that independent RIAs are
US Regulators Scrutinize Morgan Stanley's Wealth Client Regime – Media
A cluster of US regulators are reportedly checking into the measures Morgan Stanley has taken to
Proposed AML Changes For Advisors – What Wealth Industry Needs To Know
This article – from law firm Squire Patton Boggs – charts important new developments in the
A Walk Around Executives’ Deferred Compensation
This guest article considers a variety of long-term compensation models in management roles in
Comment & Analysis results for The Securities and Exchange Commission
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