Carl Ayers
On Jan. 19th, 2020, the SEC formally withdrew the no-action letters. The list of the withdrawn letters is below
Factors that go into the initial risk rating include the size of the firm, whether it maintains custody, if it employs many reps across numerous ...
If the previous administration flashed a red light at ERISA plans’ investment managers’ enthusiasm for ESG, the new proposal turns it green in more ways ...
The new law carries the potential for punitive damages, back and front pay, civil money penalties and lawsuits that could publicize a firm’s dirty laundry
A new proposed rule invites financial companies to participate in a pilot project holding firms to share their SARs information with their foreign branches, subsidiaries ...
Be aware that the Federal Trade Commission has increased the thresholds for alerting the FTC and the Justice Department of certain large acquisitions
This checklist comes largely from the National Institute of Standards and Technology's (NIST) cybersecurity framework and FINRA's Report on Cybersecurity Practices.
"The private fund industry has grown in size to a net asset value $11 trillion and evolved in terms of business practices, complexity of fund ...
"This proposal is an important step that seeks to put the Commission and FSOC in a better position to understand, assess, and take action regarding ...