Junk fees, open banking and more proposed for the regulator’s next fiscal year
The funds would give retail investors exposure to illiquid assets such as private debt, private equity and infrastructure
Demand for advice, strong markets to drive growth in client assets
Several clients who lost money filed lawsuits last year
Regulator seeks consistent implementation of new regime, avoiding arbitrage
AI-related filings rise; crypto cases fall, and are in doubt if regulation arrives
Proposal builds on amendments for separate licensing, introduces requirements for life agents
Report reveals firm's top ESG trends for investors in 2025
Agency reports record enforcement filings, seeks to save dealer rule
Regulators pushback final post-crisis reforms ahead of new U.S. administration