Carl Ayers
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend selected provisions of its regulations in order to simplify certain requirements for swap ...
A sources shares with IA Watch a copy of an OCIE document request letter that focuses on how the adviser handles cryptocurrencies.
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to amend its position limits rules for security futures products (“SFPs”) by: (i) increasing the ...
That new OCIE risk alert represents only the latest effort by the SEC to drill into firms their obligation to seek best execution (IA Watch, ...
The elderly client had lost her husband only three months before when her adviser, George Taylor of Temenos Advisory ($107M in AUM), persuaded her to ...
Take two teenaged hackers in Ukraine. Add a former Morgan Stanley investment adviser who moonlights as a pastor and his friend, a former rep. Toss ...
New Silk Route Advisors ($1.1B in AUM) in New York runs two Cayman Islands-based private equity funds that invest in India but its regulator resides ...
At its launch in 2010, on-line wealth manager Betterment made a big splash with its idea of using software algorithms and technology to manage customer ...
FINRA has a plan for cracking down on what it sees as a growing problem with churning: Change the rules of the game to make ...
About one year after the SEC released an investor alert about initial coin offerings, the CFTC has followed suit with its own alert (IA Watch, ...