Carl Ayers
"It has been unsettling to see how precipitously one Commission is willing to undo the work of the Commission that came before it—all without a ...
"Any DTC participant with a registered wallet will be able to transfer its tokenized entitlement directly to the registered wallet of another DTC participant. DTC’s ...
"For a nonbank institution, designation brings with it a new regulator that does not have the primary regulator’s expertise in its business .... These are ...
"Federal Reserve supervision, whose only tool is capital standards, would bring a meaningless regulatory framework to asset managers, insurance companies, investment funds, and so forth. ...
These cases provide clear takeaways. First, share 'sufficient information' so that your intended audience can adequately understand the ads
Your secretary of state’s website is a good place to search for evidence of staff running outside business activities
All significant outside business or charitable activities must be approved by your manager and by the Chief Compliance Officer
It’s a given you should know who your investors are. But when you add it all up, you should also be sure if any one ...
The IM director wants to update old rules for the modern, digital era, with the custody and recordkeeping rules atop the list
The guidance, which was issued in 2020, is officially withdrawn as of Dec. 10, 2025