SEC

US portfolio manager Clare Hart to retire from JP Morgan AM

Fund management

US portfolio manager Clare Hart to retire from JP Morgan AM

US equity income and value manager

clock 13 September 2023 • 2 min read
US private fund industry bodies sue SEC over new disclosure rules

US

US private fund industry bodies sue SEC over new disclosure rules

'No choice but to litigate'

clock 04 September 2023 • 2 min read
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
Most read
01

Bank of England to embark on largest reform since gaining independence following Bernanke review

25 November 2024 • 2 min read
02

AJ Bell CEO Michael Summersgill cautions chancellor over proposed pension IHT changes

25 November 2024 • 3 min read
03

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

26 November 2024 • 2 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

FCA delivers plans to regulate cryptocurrency

26 November 2024 • 4 min read
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