Carl Ayers
This exam letter, from 2018, asks detailed questions about the adviser's mutual fund.
A peers shares the firm's recent exam document request letter.
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previous year, ...
That old phrase “the left hand doesn’t know what the right hand is doing” comes to mind given that an advisory firm has just settled an ...
The Senate has confirmed President Trump’s choice to be the fifth SEC commissioner. Elad Roisman, once sworn in, would replace Republican Commissioner Michael Piwowar, who ...
Has the annual compliance meeting outlived its usefulness? Some of your peers think so, and FINRA itself may be open to reconsidering it. You know ...
It’s the IT equivalent of leaving your front door open to the world. The CFTC has fined the futures commission merchant AMP Global Clearing ...
A spate of enforcement actions lately has highlighted the compliance risks around securities lending, with the $1.6 billion fine against Deutsche Bank Securities topping the ...
Those who decry the SEC for so-called regulation through enforcement may have found a new ally. The newly-formed group New Civil Liberties Alliance has ...