Displaying 3237 results
HSBC under investigation in US over WhatsApp use
Bank cooperating with CFTC probe into business communications. This comes after JPMorgan was fined for messages outside work systems.
Business plea to SEC: Too early for Scope 3 disclosures
Business groups say they are worried about the potential difficulty of complying with higher standards for climate disclosure.
The confusion over crypto assets
Clients are demanding access to digital assets. But how — and when — will brokers be able to sell them?
SEC bogs down on climate rule, handing White House fresh setback
At issue is how much environmental data companies can be forced to disclose before regulators put themselves in legal jeopardy.
Rising crypto star faces SEC, volatile markets
Ophelia Snyder, 29, is already managing $2.5 billion. She is now teaming up with Cathie Wood to bring a Bitcoin ETF to the U.S. — if regulators allow it.
SEC keeps up pressure on private fund advisers
Under Chairman Gary Gensler, the agency is taking a closer look at private equity, hedge funds.
If regulators want meaningful feedback, bring back 60-day comment periods
Stakeholders must have enough time to analyze and provide a reasoned response in order to provide helpful input on proposed regulations.
Crypto firms Celsius Network, Gemini face SEC scrutiny
The SEC enforcement review focuses on whether the companies’ offerings should be registered as securities, people say.
Former UBS rep charged with stealing $5.8 million
German Nino used $4.2 million of a client's money on gifts for several women with whom he had romantic relationships.
BNY Mellon sees potential for digital asset revenue in 2023
Firm is waiting for clarity on ETF rules, CFO Portney says.
SEC bars Woodbridge executive Acevedo
Ivan Acevedo pleaded guilty last summer to conspiracy to commit mail and wire fraud for his role in the $1.3 billion Woodbridge real estate scheme and is currently in federal custody, according to the SEC.
ESG study shared with SEC reveals fund labels are often useless
The researchers used data-analytic tools to establish that language in many funds’ prospectuses lacked clarity .
SEC permanently bars RIA Michael Shillin over fraud
Obtains partial judgment against Wisconsin adviser; court will determine penalties later.
There’s much to look forward to in 2022
The InvestmentNews reporting team looks ahead to 2022 and sees many of these long-term trends continuing.
ESG investing is about to get a lot easier
Both the Labor Department and the SEC are working on proposals whose thrust is to encourage the use of ESG factors, an abrupt reversal of Trump administration policy.
Expect a flurry of new ESG rules
The DOL and the SEC are poised to advance several rulemakings this spring related to ESG investing.
Two B-Ds boost reserves for legal costs
National Securities Corp. and Calton & Associates Inc. reported increased expenses in light of potential legal costs.
SEC punts again on NYDIG Bitcoin ETF
The agency said it needs another 60 days to make a determination, pushing the new deadline to March 16.
DoubleLine puts ETFs on the docket for 2022
The $137 billion bond shop has filed to launch two ETFs, one of which is similar to a strategy it already subadvises for State Street.
Implementing a social strategy that won’t get you fined by the SEC
It's important for advisers to understand what they can and can't do under the agency's new marketing rules when it comes to advertising and marketing via social media and messaging apps.
