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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

Bilal Jafar

Bilal Jafar

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

Crypto hedge funds continue to rally as bitcoin approaches all-time high

Citadel’s Drew Gillanders: ‘Our peers have a restrictive risk framework… we take a longer-term view’

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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Evelyn Partners professional services arm to rebrand after Apax sale

Inside Deutsche Numis’s plans to dominate UK dealmaking

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Evelyn Partners sells accounting arm to Apax for £700m

HSBC sustainability chief to exit in latest senior management changes

On the Move

On the Move

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

Trading Places: Goldman’s ECM shake-up, Latham’s latest raid

Sidley Austin raids Latham & Watkins for 10-lawyer team in London

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

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

Private equity giants and law firms bet big on Milan amid hot M&A market

Robert Jenrick’s wife Michal Berkner leaves McDermott Will & Emery