Carl Ayers
A source shares a DOE document request letter issued by the New York Regional Office
"There is also a narrative that the SEC is engaged in 'regulation by enforcement.' But I see something different .... This is not regulation by ...
"Registration of government securities brokers and dealers means that market participants must, among other requirements, keep important books and records, meet minimum capital requirements, and ...
Fiscal year 2022 proved a windfall for the SEC, as it issued $6.4 billion in penalties, interest and disgorgement, a whopping 68% higher than FY ...
The proposed rule would require advisers to conduct due diligence prior to engaging a service provider to perform certain services or functions. It would further ...
The agency touts 760 total enforcement actions in FY '22, a 9% increase over the prior year
"You’re the first line of defense—not just, crucially, for investors, but also for your colleagues, who are working to meet various revenue goals for your ...
This is the SEC's proposed change to N-PORT reporting rules
This is the SEC's proposed revised liquidity risk management rule from November 2022
The "Commission noted that asset managers may engage with service providers with international operations and, therefore, generally should consider potential risks related to outsourcing beyond ...
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