SEC

SEC charges former Western Asset Management co-CIO Ken Leech with fraud

Regulation

SEC charges former Western Asset Management co-CIO Ken Leech with fraud

Based on complaints from 2021-2023

clock 26 November 2024 • 2 min read
SEC chair Gary Gensler to step down from post in January

Regulation

SEC chair Gary Gensler to step down from post in January

Once Donald Trump takes office

clock 22 November 2024 • 1 min read
EU's markets watchdog makes case to be bloc's capital markets supervisor – reports

Regulation

EU's markets watchdog makes case to be bloc's capital markets supervisor – reports

Following Draghi report

clock 21 October 2024 • 2 min read
Morgan Stanley IM files to replicate Vanguard's multi-share class structure in ETF rivalry race

ETFs

Morgan Stanley IM files to replicate Vanguard's multi-share class structure in ETF rivalry race

Fifth firm to file

clock 12 February 2024 • 1 min read
'Watershed moment' for crypto as SEC approves 11 spot bitcoin ETFs

Alternatives

'Watershed moment' for crypto as SEC approves 11 spot bitcoin ETFs

Attention turns to UK's FCA

clock 11 January 2024 • 3 min read
SEC adopts new clearing rules in $26bn US Treasury market overhaul

Bonds

SEC adopts new clearing rules in $26bn US Treasury market overhaul

Changes to go into effect in two phases

clock 14 December 2023 • 2 min read
Riverstone Credit Opportunities Income proposes sub-manager arrangement

Investment Trusts

Riverstone Credit Opportunities Income proposes sub-manager arrangement

With credit spin-out Breakwall Capital

clock 06 November 2023 • 1 min read
FCA turns attention to private market valuations

Regulation

FCA turns attention to private market valuations

Questions if a valuation correction is due

clock 19 October 2023 • 5 min read
DWS fined $19m by SEC over 'materially misleading' ESG statements

ESG

DWS fined $19m by SEC over 'materially misleading' ESG statements

$6m for anti-money laundering violations

clock 25 September 2023 • 2 min read
US SEC unveils ESG labelling rules for mutual funds

ESG

US SEC unveils ESG labelling rules for mutual funds

To prevent greenwashing

clock 21 September 2023 • 2 min read
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02

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03

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22 November 2024 • 5 min read
04

Trump policies spark volatility for US Treasuries and add pressure to rising national debt levels

25 November 2024 • 5 min read
05

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