Investment Executive AM newsletter

Thursday August 24, 2023
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From the Regulators
SEC ramps up hedge fund regulation
New rules aim to improve transparency, investor protection in private fund market
August 23, 2023

Columns
Help clients get value from tax prep services
Amid automatic tax filing, a proactive approach is required
August 23, 2023

Industry News
Big Six branches continue to bar sales of non-proprietary product
As OSC review gathers dust, regulators continue to question the ethics of proprietary-only product shelves
August 23, 2023

From the Regulators
Crypto mixers charged with money laundering
Company allegedly facilitated in washing over US$1 billion in criminal proceeds
August 23, 2023

From the Regulators
U.S. reaches deal on broker's shady trading
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
August 23, 2023

From the Regulators
SEC expands FINRA's jurisdiction
August 23, 2023

From the Regulators
IOSCO, CPMI report examines central counterparty risks
August 23, 2023

Expert Advice

Is Essential Retail A Smart Money Play in Today’s Market?
By: Skyline


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