Carl Ayers
A peer supplies an example of a checklist for items that should be in a new account's folder
In a rare public meeting scheduled for Dec. 15th, the Commission aims to take up five new rules
Investment advisers should consider whether any advice regarding LIBOR-linked investments and applicable risks is consistent with their clients’ goals
The firm even puts in place trading surveillance of accounts owned by clients above a certain age in an effort to spot any troublesome patterns
"I also hear a troubling number of anecdotes, from my own parents and from other older adults, who have found themselves in the crosshairs of ...
RCW interviews Rachel Mayo, associate general counsel at Stephens Investment Management Group in Little Rock, Ark., and a former Labor Department official, about what advisers ...
"The SEC has not provided clarity in response to repeated questions on crypto from reputable players, but has instead embraced an approach that has been ...
An example of a new P&P for use of testimonials, guidance to get all over the DOL's new rollover exemption, doubts about the SEC's new ...
Two words of caution about vendors: they can be very expensive and “the accuracy of the data and whether or not it’s current”
David Chiueh wore multiple hats at Upright Financial Corp. ($68M in AUM) in East Hanover, N.J.—president, portfolio manager and chief compliance officer. A new SEC ...