U.S. federal law gives the Securities and Exchange Commission (“SEC”) flexibility when seeking sanctions, including remedies that are tailored ...

Refit Updates: Practical Training for Banks, Hedge Funds, and Asset ManagersDublin, Feb. 07, 2025 (GLOBE NEWSWIRE) -- The "EMIR Refit (ONLINE EVENT: March 7, 2025)" training course has been added to ...

“One great example is that we have a workflow that ... Tools like these on the belt of a broker-dealer-turned-advisor make a huge difference in time. Normally this type of process would take ...

San Francisco-based Frec, a direct indexing platform for self-directed investors, has launched a portfolio allocation feature ...

On September 27, 2024, the U.S. Securities and Exchange Commission (“SEC”) amended the rules and forms that govern how filers access and interact ...

She has a demonstrated history of working in both institutional and retail environments, from broker-dealers to RIAs ... Unlike the iPhone example above, these prospects in financial markets ...

“Federal law requires broker-dealers to ascertain the identity of ... the SEC order said. For example, an item flagged for remediation in May 2019 remained “past due” in February 2022.

SEI Investments consists of four main segments: private banks, investment advisors, institutional investors, and investment managers. A minority interest in value equity manager LSV Asset Management ...

DeepSeek's open-source AI model aims to push big tech monopolies, reducing costs for AI advancements. Read my thoughts on ...

SEC undergoing strategic overhaul, marked by personnel changes and formation of task force for more collaborative, structured ...

An examination of key data privacy and cybersecurity developments in 2024 and emerging trends and risks for 2025, including ...