SEC

LSEG plans launch of blockchain-based digital assets business

Alternatives

LSEG plans launch of blockchain-based digital assets business

First major exchange to do so

clock 04 September 2023 • 1 min read
SEC demands disclosure documents from ESG fund managers - reports

ESG

SEC demands disclosure documents from ESG fund managers - reports

Interest in rebranded conventional funds

clock 15 August 2023 • 2 min read
US SEC finalises money market fund reforms aimed at preventing rapid outflows

Fund managers

US SEC finalises money market fund reforms aimed at preventing rapid outflows

Rules out ‘swing pricing’

clock 13 July 2023 • 2 min read
Trio of reforms including review of short-selling rules welcomed by industry

Alternatives

Trio of reforms including review of short-selling rules welcomed by industry

'Sweeping' package of regulatory reforms

clock 12 July 2023 • 3 min read
PIMCO charged by US SEC over disclosure and procedures failures

Companies

PIMCO charged by US SEC over disclosure and procedures failures

$9m settlement

clock 19 June 2023 • 1 min read
SEC and Federal Reserve investigate Goldman Sachs over SVB collapse - reports

Companies

SEC and Federal Reserve investigate Goldman Sachs over SVB collapse - reports

Potential improper communication

clock 16 June 2023 • 1 min read
SEC sues Coinbase for breaking market rules

Financial services

SEC sues Coinbase for breaking market rules

Stock price drops 12.1%

clock 07 June 2023 • 2 min read
SEC seeks emergency relief to protect Binance customers amid lawsuit

US

SEC seeks emergency relief to protect Binance customers amid lawsuit

Launched suit yesterday

clock 07 June 2023 • 1 min read
Binance sued by SEC over 'variety of securities law violations'

Alternatives

Binance sued by SEC over 'variety of securities law violations'

‘Extensive web of deception’

clock 06 June 2023 • 2 min read
Why fund selectors must watch Netflix's 'MADOFF: The Monster of Wall Street'

Markets

Why fund selectors must watch Netflix's 'MADOFF: The Monster of Wall Street'

Could it happen again today?

clock 16 February 2023 • 4 min read
Most read
01

Four Graphs explaining 'what happened to the year of the bond'

06 November 2024 • 3 min read
02

Industry reaches Consumer Duty stalemate and calls for FCA to provide further clarity on cost disclosure reforms

12 November 2024 • 11 min read
03

Schroder BSC Social Impact plans investment policy revamp to adopt SDR label

12 November 2024 • 2 min read
04

Former Close Brothers AM CEO Martin Andrew joins Schroders Personal Wealth board

12 November 2024 • 1 min read
05

Oberon Investments names former Neptune UK wholesale head to top distribution job

12 November 2024 • 2 min read
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