Driving Excellence in Asset Management (Video)
By Envestnet (sponsored)Asset Manager of the Year Award winners highlight the processes, philosophies and methods that support stellar performance.
May 26, 2022
Ex-SEC Chairman Says Private Fund Plan Goes Too Far: SEC Roundup"This proposal will be reviewed by the courts, there's no doubt," Harvey Pitt says.
May 13, 2022
Anti-Money Laundering Rule for Advisors May Be Revived: SEC RoundupLaurel Rimon and Braddock Stevenson, formerly of the CFPB and FinCEN, discussed whether the AML plan will resurface.
April 29, 2022
Can Federal Courts Override SEC Enforcement Actions?: SEC RoundupCivil liberties lawyer Peggy Little discusses whether SEC defendants can challenge the SEC's hearing process in court.
April 14, 2022
What Hopkins, Levine & Treichel Think of Retirement Changes in Secure Act 2.0Clients will ask about Secure 2.0, so advisors should "be prepared," one expert said in this webcast.
April 08, 2022
Don't Make These Costly D&O Insurance Mistakes: SEC RoundupAmy Jeter and Chris Crawford explain what to consider as the SEC proposes changes to insider trading plan requirements.
March 25, 2022
Ex-SEC Commissioner Paredes on Regulating Crypto: SEC RoundupTroy Paredes discusses what's next in digital assets regulation with hosts Nick Morgan and Tom Zaccaro.
March 09, 2022
SEC Whistleblower Architect on the Problem With Frivolous Tips: SEC RoundupIn this episode, Jordan Thomas weighs in on what, if anything, should be done about frivolous tips.