The Power of Building a Community
By Janet LevauxAdvisors need to broadly rethink who their prospective clients are and how to best attract them, the leader of one advisory firm explains.
September 14, 2022
XRP Tokens Caught in Crypto Oversight Crosshairs: SEC RoundupAttorney John Deaton says the SEC's jurisdictional "land grab" of crypto will affect XRP token holders.
August 31, 2022
Blowing the Whistle on How Insider Tips Are Handled: SEC RoundupIn a secretive process, the SEC looks to private lawyers to examine whistleblower tips, professor Alex Platt says.
August 16, 2022
Why Balking at SEC Rules Will Not Make You a Target: SEC RoundupSuzan Rose of the Alternative Investment Management Association explains why firms should not be reluctant to air their views on SEC proposals.
August 04, 2022
Reg BI Will Be Defined Case by Case, Cetera's Chief Legal Officer Says: SEC RoundupThe SEC "intends to enforce Reg BI however they define it," says Lisa Gok.
July 21, 2022
Robinhood's Chief Lawyer Balks at Plan to Rein In Trading Apps: SEC RoundupRobinhood's Dan Gallagher calls the regulatory brouhaha after the meme stock frenzy a "false impetus to regulate."
July 01, 2022
ESG Funds Plan May Create 'Garbage In, Garbage Out' Problem: SEC RoundupIn this episode, ICI President Eric Pan and Paul Hastings partner Ira Kustin discuss the possible unintended consequences of the SEC's ESG proposal.
June 22, 2022
Portfolio Insights and Outlooks (Video)Asset Manager of the Year Award winners explain what they did in 2021, as well as how they're adjusting their portfolios in 2022.