SEC
What the raids on Convoy Global mean for Hong Kong’s advisers
Raids by Hong Kong’s anti-corruption commission have forced one of the special administrative region’s biggest financial advice firms into the harsh glare of media and public scrutiny.
SEC clears path to US research post-Mifid
The Securities and Exchange Commission (SEC) has announced that UK investment firms will be able to temporarily access research from the US post-Mifid II.
Investment | 2 Oct 17
Diamond backed cryptocurrency exposed
Two so-called initial coin offerings (ICOs) backed by investments in real estate and diamonds have been shut down by the US Securities and Exchange Commission.
PEOPLE MOVES: RWC Partners, Sanlam Four, Lombard Odier PB
RWC Partner’s acquisition of Pensato Capital has added a seven-strong team, including the firm’s founder, while Sanlam Four and Lombard Odier Private Bank are making a UK push with their latest hires.
Investment | 1 Sep 17
US regulator to examine ETP impact on markets and investors
The Securities and Exchange Commission (SEC) is to examine the fast-growing market for exchange-traded products (ETPs) and its implications for investors in a forum with New York University.