News, Comment & Analysis results for Securities and Exchange Commission
Cyprus Securities Watchdog Bets Big On Blockchain
The Cypriot regulator is the latest to say it is looking to utilise the nascent technology....
SEC To Decide On Bitcoin ETF Within Days
Officials from the prominent US regulator met with Tyler and Cameron Winklevoss last month to...
Trio Of Law Firms Spark Transatlantic Whistleblower Initiative
To date, the Securities and Exchange Commission has granted more than $110 million in awards to...
SEC Charges More Individuals Involved In Fraudulent "Kickback" Scheme At Venezuelan Bank
The US SEC has announced more charges in its case against individuals involved in a kickback scheme...
London Hedge Fund Firm Pays SEC $9 Million Over Claims Of Overvaluing Assets
GLG Partners, the London-based hedge fund firm owned by Man Group, and a former holding company...
GLG Pays SEC $9 Million Over Claims Of Overvaluing Assets
GLG Partners, the London-based hedge fund firm owned by Man Group, and a former holding company...
SEC Charges Two Texas-Based Investment Advisors Over Alleged $18 Million Ponzi Scheme
SEC Charges Two Texas-Based Investment Advisors Over Alleged $18 Million Ponzi...
SEC Charges Fifth Third Bancorp For Improper Accounting Of Loan Losses During Financial Crisis
Cincinnati-based Fifth Third Bank has agreed to pay $6.5 million to settle charges brought about by...
SEC Charges Detroit-Based Money Market Fund Manager With Fraud
The Securities and Exchange Commission has declared fraud charges against a Detroit-based...
SEC Charges Three Firms For Violating Custody Rule
Three investment firms have been sanctioned by the US Securities and Exchange Commission for...
Comment & Analysis results for Securities and Exchange Commission
A Walk Through The SEC Rules On Family Offices
In the first of two articles looking at new SEC rules on family offices, this publication looks at...
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...
Understanding New SEC Hedge Fund Rules
On December 2, 2004 the US Securities and Exchange Commission issued, after a considerable delay,...
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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