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Securities and Exchange Commission

SEC chair says he’ll resign on inauguration day

1 min read

Trump Looks Ready to Shake Up the SEC. Why Wall Street Will Be Smiling.

By

Bill Alpert

2024-11-07T11:30:00Z

3 min read

Securities and Exchange CommissionRegulationPoliticsDonald Trump

SEC charges Drive Planning and its CEO more than $300m ‘Ponzi Scheme’

2024-08-14T14:10:00Z

1 min read

RegulationSecurities and Exchange Commission

Gary Gensler tells UK to set firm T+1 transition deadline

By Jeremy Chan

2024-06-21T07:00:00Z

3 min read

TradingT+1Securities and Exchange Commission
Twenty Most Influential in Wealth Management 2024

New

Twenty Most Influential in Wealth Management 2024

Kristen McGachey

Kristen McGachey

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

Citi poaches BlackRock managing director for wealth CIO

Evelyn Partners professional services arm to rebrand after Apax sale

Check out FN's latest profiles

An Audience With

Check out FN's latest profiles

Private equity giants near settlements with SEC over texting violations

By

Mengqi Sun

2024-05-28T10:34:00Z

3 min read

Private EquityKKRCarlyleApolloSecurities and Exchange Commission

US WhatsApp crackdown spreads to global banking regulators

By Justin Cash

2024-05-23T23:00:00Z

5 min read

RegulationFCASecurities and Exchange CommissionWhatsapp
Around 16 broker-dealers noted SEC probes into their communications

SEC nears settlement with financial services firms over WhatsApp

The latest settlement is likely to see firms finalising deals that would include an admission of wrongdoing and commitment to fixing the issues

Hundreds of staff are on call for the move to T+1, but will it be enough?

‘All hands on deck’ as banks rush to prepare for T+1

Across the market, firms are gearing up for a revolution in settlement times

Binance and founder Zhao Changpeng also face legal action from sister regulator the CFTC

SEC sues Binance for US securities violations

More than a dozen charges have been levied against Binance, which is also under scrutiny from the CFTC

Bank stock volatility probed for potential market manipulation

Biden administration to monitor short-selling pressures on healthy banks

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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

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

The Fintech Files: Gensler on the warpath, and meet ex-Bitstamp boss Julian Sawyer

By Alex Daniel

2023-02-14T14:01:25Z

4 min read

Securities and Exchange CommissionThe Fintech FilesCryptoFintechStandard CharteredBitcoinDiversityFintech FilesCryptocurrencyWomen in Finance
'This really should put everyone on notice in this marketplace', SEC boss says

FN Law

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