Home Authors Posts by Carl Ayers
More time to think about the SEC's safeguarding proposal changes few minds, why it's worth paying attention to U.S. sanctions, could SEC ALJs go away, ...
Several of the new comments noted the array of cyber-related proposals and urged coordination or consolidation
Participating in a global economy carries a lot more responsibilities now, especially given the explosion of U.S. government sanctions
A peer passes on an adviser's recent DOE exam document request letter
This checklist comes courtesy of Steven Felsenthal, GC/CCO at Millburn Ridgefield Corp. in New York
RTW failed to disclose conflicts of interest, made statements that omitted material facts, and failed to adopt reasonably designed written policies and procedures regarding RTW ...
RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel
The marketing rule and ESG, Reg BI violations prove costly, ideas for handling charitable contributions and much more