Carl Ayers
What's ahead at the SEC, should you sign documents destined for the SEC, an earful over digital trading apps and much more
A peer shares the firm's policies and procedures for overseeing its subadvisers
A peer shares a great best ex tool
Comments from people outside the industry revealed an undercurrent of discontent with Wall Street and the SEC
"I am technology-neutral, but I am anything but public policy-neutral. As new technologies come along and change business models in finance, we need to continue ...
"More troubling is the requirement that Credit Suisse’s Chief Compliance Officer submit a series of annual certifications attesting to Credit Suisse’s adherence to its plea ...
The firm failed to file and deliver Form CRS by these deadlines, not becoming compliant until in or after late March 2021
"We have been very fortunate that for the most part, when broker-dealers have been forced to shut down and unwind operations, customer accounts have been ...
ERISA fiduciaries can make investment decisions that reflect climate change and other ESG considerations, including climate-related financial risk, and choose economically targeted investments selected, in ...
"Today, the staff of the Securities and Exchange Commission published a report on the “meme stock” events of winter 2021, and how these events affected ...