Carl Ayers
OFAC now maintains an online sanctions database that’s more robust than it used to be. There are also numerous commercial databases that offer politically exposed ...
This arrangement created an incentive for ISCA to leave client cash in one of these three cash options over other investments
Rosedale participated in a widespread bribery scheme that targeted as prospective clients
NCAA Division I college athletes
The Commission announces a change in how it looks at its whistleblower rules
A peer shares the firm's form that's used to help verify the designations or certifications that staff claim to have earned
Working virtually may have taken its toll on examiners. They aren’t reading through all of the materials they’ve requested, frustrating responding CCOs.
Self-reporting came with some hassles. “It took a lot more time and a lot more effort, which distracted from our business,” than the firm had ...
The memo goes on to note that “a firm subject to SEC supervision cannot offer its services to customers if it is not willing to ...
It’s clear the mess Madoff left will long outlive the criminal who created it
Your peers share their recent SEC exam experiences, a CCO talks self-reporting, debating whistleblower rule changes and much more