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SEC

New documents show SEC’s concerns about crypto company aiming for IPO

Jeremy Allaire, chief executive of Circle Internet Financial

6 min read

SEC says self-reporting key factor in reducing off-channel communication fines

2024-04-04T08:14:33Z

3 min read

SEC Investment Banking Regulation

The US Securities and Exchange Commission over the past few years has ramped up its enforcement against Wall Street firms’ use of forbidden messaging apps to do business

Hedge funds sue SEC over Treasury dealer rule

2024-03-19T06:58:21Z

3 min read

SEC Hedge Funds Regulation

SEC approves weakened climate disclosure rule

2024-03-07T07:39:41Z

4 min read

SEC ESG Regulation

SEC chair Gary Gensler says the new rule will give investors critical information

SEC dishes out $81m in fines as recordkeeping sweep continues

2024-02-09T14:56:48Z

1 min read

SEC Regulation

City still falling short on comms compliance as FCA mulls WhatsApp crackdown

By Justin Cash

2024-01-30T11:53:51Z

3 min read

SEC FCA CMA Regulation

Regulators are pushing for a 'comprehensive' view of risks as covert app use explodes

New

Twenty Most Influential in Wealth Management 2024

Paul Clarke

Bank of England unveils plans to reduce senior banker bonus deferrals

Fordham’s geopolitical advisory firm enlists political heavyweights, Citi FX specialist

Citigroup said to plan fewer promotions in cost-cutting drive

An Audience With

Check out FN's latest profiles

Private fund lobbyists get set for high-stakes SEC court fight

2024-01-29T13:10:05Z

5 min read

SEC Private Equity Regulation

The SEC proposal is arguably the toughest measure the government has taken to check private equity since the emergence of modern buyout firms more than 40 years ago

Judge questions SEC’s claim to regulate Coinbase

2024-01-18T11:45:44Z

4 min read

SEC Crypto Coinbase

The US Securities and Exchange Commission says Coinbase lists tokens that qualify as securities

Bitcoin bulls take $85m hit amid SEC’s ETF approval

By Bilal Jafar

2024-01-11T11:49:34Z

2 min read

SEC Crypto Bitcoin ETFs

Crypto bulls lost out in the aftermath of the SEC’s approval of bitcoin ETFs

Cardano founder Charles Hoskinson: SEC ‘doesn’t have answers’ on which cryptos are securities

By Bilal Jafar

2024-01-02T12:01:04Z

2 min read

SEC Crypto Bitcoin Ethereum

'For now, the regulator doesn’t have any clear guidelines,' Hoskinson says

Big battles loom in SEC’s war on crypto

2023-12-28T11:09:57Z

6 min read

SEC Crypto Binance Kraken Coinbase Regulation

The consent order by the Superior Court of New Jersey resolved a previous case alleging Credit Suisse violated antifraud rules in connection to acting as an underwriter to residential mortgage-backed securities

Credit Suisse to pay $10m after SEC alleges prohibited underwriting, advising

SEC says the bank acted as an underwriter and investment adviser to mutual funds after being prohibited from doing so by a New Jersey court

‘There are aspects of our financial infrastructure that are overdue a technological upgrade’ according to Clayton

Former SEC chair Jay Clayton: ‘Tokenisation has huge potential’

Blockchain could bring more efficient settlement, the ex-boss of the US regulator tells FN, but laws need to stay in place

Binance founder Changpeng Zhao thinks the crypto firm has a good chance against the SEC

Binance copped a $4bn plea but is still fighting the SEC

Prosecutors and the Treasury Department had more leverage to get a settlement with the cryptocurrency exchange

Regulators say Wells Fargo isn’t doing enough to police customer crimes

Bank also faces lawsuit claiming that it failed to detect alleged Ponzi scheme

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Kirkland & Ellis hires Clifford Chance London fund finance heavyweight

SJP poised to re-enter FTSE 100 after share price jump

Simpson Thacher, HSF to launch Luxembourg offices in private capital push

Citigroup said to plan fewer promotions in cost-cutting drive

Brevan Howard’s Claire McCathie: ‘Achieving results commands respect’

On the Move

Kirkland & Ellis hires Clifford Chance London fund finance heavyweight

Monzo appoints Mombak’s Tom Oldham as group CFO

Fordham’s geopolitical advisory firm enlists political heavyweights, Citi FX specialist

Fed probes Morgan Stanley’s international wealth management practices

2023-11-09T07:15:08Z

3 min read

SEC Investment Banking Regulation Morgan Stanley

Wealth management is a critical source of revenue for Morgan Stanley that helps offset droughts in deal making and trading

Wall Street grapples with texting crackdown

2023-11-01T07:20:48Z

6 min read

SEC Investment Banking FCA Regulation

About 69% of Gen-Z respondents to a survey last year said they preferred to communicate through messaging apps

HSBC blocks texts on staff mobiles

By Justin Cash

2023-10-18T06:49:32Z

1 min read

SEC FCA Regulation Whatsapp

FCA hints at future WhatsApp crackdown

By Justin Cash

2023-10-04T13:02:14Z

3 min read

SEC FCA Regulation

Compliance officers are still waiting for the FCA to follow the SEC and make sure they can audit communications should market abuse occur

The Fintech Files: FTX-treme, Big Brother returns, the FCA’s tech fight

By Justin Cash

2023-10-03T12:15:08Z

3 min read

SEC The Fintech Files Fintech FCA Fintech Files

SEC

New documents show SEC’s concerns about crypto company aiming for IPO

SEC says self-reporting key factor in reducing off-channel communication fines

Hedge funds sue SEC over Treasury dealer rule

SEC approves weakened climate disclosure rule

SEC dishes out $81m in fines as recordkeeping sweep continues

City still falling short on comms compliance as FCA mulls WhatsApp crackdown

Paul Clarke

Bank of England unveils plans to reduce senior banker bonus deferrals

Fordham’s geopolitical advisory firm enlists political heavyweights, Citi FX specialist

Citigroup said to plan fewer promotions in cost-cutting drive

Private fund lobbyists get set for high-stakes SEC court fight

Judge questions SEC’s claim to regulate Coinbase

Bitcoin bulls take $85m hit amid SEC’s ETF approval

Cardano founder Charles Hoskinson: SEC ‘doesn’t have answers’ on which cryptos are securities

Big battles loom in SEC’s war on crypto

Credit Suisse to pay $10m after SEC alleges prohibited underwriting, advising

Former SEC chair Jay Clayton: ‘Tokenisation has huge potential’

Binance copped a $4bn plea but is still fighting the SEC

Regulators say Wells Fargo isn’t doing enough to police customer crimes

Most Read

Kirkland & Ellis hires Clifford Chance London fund finance heavyweight

SJP poised to re-enter FTSE 100 after share price jump

Simpson Thacher, HSF to launch Luxembourg offices in private capital push

Citigroup said to plan fewer promotions in cost-cutting drive

Brevan Howard’s Claire McCathie: ‘Achieving results commands respect’

On the Move

Kirkland & Ellis hires Clifford Chance London fund finance heavyweight

Monzo appoints Mombak’s Tom Oldham as group CFO

Fordham’s geopolitical advisory firm enlists political heavyweights, Citi FX specialist

Fed probes Morgan Stanley’s international wealth management practices

Wall Street grapples with texting crackdown

HSBC blocks texts on staff mobiles

FCA hints at future WhatsApp crackdown

The Fintech Files: FTX-treme, Big Brother returns, the FCA’s tech fight

FN Law

Simpson Thacher, HSF to launch Luxembourg offices in private capital push

Kirkland & Ellis hires Clifford Chance London fund finance heavyweight

Proskauer Rose hires John Goldfinch after A&O Shearman drink-driving exit