Carl Ayers
He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"
"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...
Lessons from a real-world cyber event, plus guidance to help protect your firm
A new SEC proposal, lessons learned from a real-life cyber event, testimonial tips and much more
It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
"There are market integrity implications to allowing private issuers to grow so big without adequate disclosure or oversight"
The Division encourages broker-dealers to review their practices, policies, and procedures with respect to Regulation Best Interest in order to address the issues raised in ...
Follow this strategy and a firm “would know immediately that transfers among these different accounts don’t make sense"
"A skeptic might believe that some ESG products are merely offered in order to extract higher management fees"
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