Heather Ayers
The CCO was tested on how to respond to a firm breach—not once, but twice
Over a 12-month period, the SEC’s Division of Examinations lost 19 examiners and 11 examiner supervisors as part of the agency’s job elimination moves
Consider these steps for your incident response P&Ps
Ideas to improve your incident response, a survey confirms how busy you are, details on SEC examiners being let go and much more
Compliance problems including trading with an affiliate without a required exemptive order and failing to have a process for any revisions to, or deviations from, ...
Hext Capital spot-tested its compliance with the net capital rule on a monthly basis rather than ensuring that it was in compliance at all times ...
The Beatles were nobodies. Medicare was but a pipe dream. Astronaut John Glenn hadn’t yet circled the globe from high above. The year was 1961, ...
This could be a model for a revised books and records rule under the Advisers Act
The Commission heard that it needs to speed up its whistleblower awards program and shouldn't move the program from the Enforcement Division
"We welcome inquiries from market participants involved in designing and operating vaults or facilitating onchain lending"