Carl Ayers
"One specific AMAC recommendation that deserves attention is that when fiduciaries select asset managers, their selection criteria should not exclude managers simply based on a ...
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Actions to avoid a costly enforcement case, what to consider before using interactive tools under the new ad rule, controversy over a proxy voting enforcement ...
Some have told us the interactive tool vendors have been accommodating, even knowing about the new SEC ad rule and willing to hand out disclosures ...
The Commission also noted that the lack of preserved records may have hampered their investigations
'We think the dissenting commissioners have it right that the proxy rule doesn’t seem to require what the order implies'
Mario Hernandez, CFP®, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's cyber P&P related to employee security roles. ...
Ahuja engaged in a fraudulent scheme to inflate the value of securities held by several private investment funds managed by Ahuja and Premium Point. The ...
The Commission staff’s investigation uncovered pervasive off-channel communications at all seniority levels at Cantor. The staff requested off-channel communications data from a sampling of more ...
The federal securities laws impose recordkeeping requirements on broker-dealers to ensure that they responsibly discharge their crucial role in our markets. The Commission has long ...
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