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The Big Read
The real impact of the ESG backlash
...It said in its annual report on shareholder voting that many of this year’s proposals were too prescriptive or pointless, and cited a US Securities and Exchange Commission policy change that has allowed...
December 4, 2023
US & Canadian companies
Morgan Stanley got off lightly
...On Friday the US Securities and Exchange Commission charged Morgan Stanley and its former equity syndicate desk head Pawan Passi with fraud in the conduct of block trading business....
January 15, 2024
FT Live
Bank of the Year Awards 2024
Recognising the best in banking globally
Wednesday, 4 DecemberLondon, UK
Scoreboard
The sports payday made in Manchester Premium content
...New documents posted this week with the Securities and Exchange Commission in the US shed some light over how the deal eventually got done, and why it took so long....
January 20, 2024
US & Canadian companies
Private equity is in for rampant consolidation
...The US Securities and Exchange Commission’s decision last month to adopt sweeping new rules for the private fund industry is prompting some smaller fund managers to look for their first full-time general...
September 18, 2023
FirstFT
FirstFT: Fed triggers market rally with its view to cut rates in 2024
...Elon Musk: A San Francisco court will hear the US Securities and Exchange Commission’s bid to force the tech billionaire to testify in its probe of his $44bn takeover of Twitter, now known as X....
December 14, 2023
Due Diligence
Goldman’s succession tea leaves Premium content
...Smart reads Spac attack Last week the US Securities and Exchange Commission announced new rules for special purpose acquisition companies. Unfortunately, they’ve come far too late, the FT writes....
January 30, 2024
FT Live
Future of Asset Management North America
New models for the next age of fund management
Wednesday, 25 SeptemberNew York, NY, USA
The Big Read
Crypto real estate: the property market built on digital assets
...Gary Gensler, chair of the Securities and Exchange Commission, has called repeatedly for more oversight of digital tokens, making the case for applying pre-existing rules in traditional finance to crypto...
September 5, 2022
FirstFT
FirstFT: Humanitarian crisis in Gaza grows
...Regulators must quickly find a way to manage risks posed to financial stability by the concentration of power in artificial intelligence platforms, the chair of the US Securities and Exchange Commission...
October 16, 2023
FirstFT
FirstFT: Donald Trump charged over election interference in Georgia
...The US Securities and Exchange Commission has sent document requests, including subpoenas, to several asset managers relating to their environmental, social and governance investment marketing this year,...
August 15, 2023
FirstFT
FirstFT: Fed prepares to tighten rules for midsized banks after SVB collapse
...Regulation: The US Securities and Exchange Commission will vote on proposals including a new rule on cyber security risk management for the likes of broker-dealers, clearing agencies and investment advisers...
March 15, 2023
ETF Hub
Volatile markets increase appeal of ETFs with a buffer
...And further growth now appears likely, with BlackRock — the world’s largest asset manager — recently filing plans with the US Securities and Exchange Commission to launch its first two buffer funds....
April 24, 2023
UnhedgedRobert Armstrong
The SEC should not touch crypto Premium content
...Crypto tokens are not securities any more than baseball cards or sports bets are. Prosecute fraud, maybe regulate crypto exchanges like casinos, and keep the SEC et al out of it....
December 9, 2022
Disrupted Times
Rapid growth of AI spurs calls for greater regulation
...Need to know: Global economy Sultan Al Jaber, the president-designate of COP28 and head of the Abu Dhabi National Oil Company, promised to “supercharge” global climate finance, finalise a $100bn fund to...
May 3, 2023
Due Diligence
The Brazilian billionaires embroiled in a $3.9bn scandal Premium content
...gone after less than two weeks on the job, a trio of billionaires under fire from banks, and a Big Four auditor that appears to have missed the signs ......
February 8, 2023
Transcript
The SEC’s crypto crackdown
...Yesterday’s move by the Securities and Exchange Commission is part of a broader crackdown on the crypto industry. Here’s the FT’s digital assets correspondent Scott Chipolina....
February 16, 2023
FT Live
Infrastructure Investment in Latin America and the Caribbean
Identifying opportunities for investors and asset managers
Wednesday, 12 June237 Park Avenue, New York, NY, USA
LexJonathan Guthrie
The Lex Newsletter: how rainmakers become troublemakers Premium content
...The Securities and Exchange Commission, America’s financial regulator, served notice that there is a tougher sheriff in town this week....
March 10, 2023
Transcript
Tracking the mysterious rise of a UAE company
...Just to name a few: he’s the country’s national security adviser; he chairs a state investment vehicle and the UAE’s biggest bank; and then, of course, there’s IHC....
March 8, 2023
Unhedged
Don’t regulate crypto as finance Premium content
...Similarly, Securities and Exchange Commission chair Gary Gensler has said that the basic US laws governing securities, exchanges, brokers, funds and advisers, passed in the middle of the past century, should...
November 22, 2022
FirstFT
FirstFT: Deep cuts coming to Goldman’s bonuses
...The previously unreported contact between Salame and the Securities Commission of The Bahamas is the first known instance of a top associate to Bankman-Fried assisting government authorities to bring down...
December 15, 2022
Due Diligence
SBF behind bars Premium content
...SBF’s fraud began the day it was launched, the US Securities and Exchange Commission said in separate civil charges against the former FTX boss....
December 14, 2022
Derivative exchanges
Did a major financial institution kinda maybe slightly default in March 2020?
...There is for sure a debate to be had about when the Federal Reserve et al should have pivoted their stance more forcefully to tackle inflationary pressures, and what they should and shouldn’t do now....
May 27, 2022
Due Diligence
H2O: the FT investigation’s big finale Premium content
...The Masimo/Koffey quarrel comes during a particularly heated moment in corporate activism: a new so-called “universal proxy card” rolled out by the US Securities and Exchange Commission has made it easier...
November 29, 2022
The Future of Money
These apps have eyes on your work emails Premium content
...In December, JPMorgan Chase agreed to pay $200mn in fines to the US Securities and Exchange Commission and the Commodity Futures Trading Commission for failing to keep records of staff communications on...
July 11, 2022
Newsletter
Aviva’s Amanda Blanc: from mining heartland to heart of capitalism
...The Securities and Exchange Commission is plotting a crackdown after fining BNY Mellon’s investment adviser division $1.5mn for allegedly misstating and omitting information about ESG investment considerations...
May 30, 2022
FirstFT
FirstFT: US warns Russia could invade Ukraine ‘as soon as tomorrow’
...Crypto platforms fear SEC’s new rules on exchanges Cryptocurrency platforms fear they are about to face tighter regulatory scrutiny after the US Securities and Exchange Commission proposed new rules that...
February 7, 2022

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