Carl Ayers
“Quite frankly, it’s not if but when these days” that your firm will be hit with a cyber-attack
Beginning in December 2020, USAFS converted its clients from existing money market funds used in Sweep Accounts that paid revenue sharing to USAFS, to different ...
"The SEC is seeking comment on crypto custody arrangements by broker-dealers and relating to investment advisers. Custody protections are key to preventing theft of investor assets, ...
"We must ensure that whistleblowers are empowered to come forward when they see misbehavior; that they are appropriately compensated according to the framework established by ...
"I have directed the staff to prepare for the Commission’s consideration later this year potential revisions to these two rules that would address the concerns ...
"We would like to thank Pete Driscoll for his more than two decades of service to the SEC and his leadership of the Division of ...
First Heartland had a conflict of interest when recommending certain money market funds to its clients: it had an incentive to recommend cash sweep products ...
The SEC has stated that a firm’s compliance P&Ps should cover business continuity plans
The LP committee should be made up of representative investors. The terms you ask them to review should be at an arm’s length and the ...
Instead of monitoring compliance with Integral’s customer-specific suitability WSPs, Ho merely directed the Integral RRs to have the Customers sign the firm’s standard risk disclosure ...