Carl Ayers
These are our top stories for the month
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Sometimes data can be overwhelming, and understanding what it takes to meet the SEC’s 13F filing requirements can only add to the frustration. But with ...
It can amount to easy pickings for the SEC when an adviser has an obligation to file information with the Commission but neglects to fulfill ...
Williams, the firm’s CEO/CCO, 'failed to provide the Commission with evidence to corroborate' the Form ADV filing claiming trillions in AUM
The benefits of self reporting violations, see who's pushing for a committee of CCOs, tips to satisfy your 13F obligations and much more
Vistia Capital did not timely amend its Form CRS to disclose that one of its financial professionals had disciplinary history as required
This was one of several new enforcement settlements announced regarding the responsibility to report beneficial owners. The SEC reminds that 'The duty to file is ...
The CFTC amends the portfolio requirement thresholds for a qualified eligible person and makes other technical changes
Prior to and after being approached by the Commission, Stifel enhanced its P&Ps, increased training on use of approved communications methods, and provided some personnel ...