Carl Ayers
Tips to help you prepare to comply with the rollover exemption, a whistleblower's story, a record year for enforcement and much more
Some advisers err because their reps write inadequate comments, such as “the client prefers to stay with me”
More than 75% of them had first “raised their concerns internally to their supervisors, compliance personnel, or through internal reporting mechanisms”
"Broker-dealers cannot use static records for their own operational and compliance purposes, so many firms have two systems. Requiring broker-dealers to maintain a wholly separate, ...
As McKinsey consultants, Investments Committee members were routinely privy to MNPI relating to, for example, financial results, planned bankruptcy filings, mergers and acquisitions, product pipelines ...
"We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...
"This proposal updates an electronic recordkeeping rule adopted in 1997. A lot has changed with respect to database management, among other technologies, in the last ...
"Under the newly proposed rule, data about securities lending transactions would be reported to a registered national securities association within 15 minutes"
States v. SEC RIAs, a compliance officer whistleblower, a look at Reg BI and much more
“There is a bit of a tug-of-war” between states and SEC RIAs over IAR registrations, says Richard Heller, a partner at Thompson Hine in New ...