Carl Ayers
In the CFTC’s latest move to “foster cross-border cooperation and show deference to home country regulation that is deemed comparable to the Commission’s regulation,” the ...
The Commodity Futures Trading Commission (Commission) is proposing amendments to its regulations to establish a regulatory framework within which the Commission may exempt a clearing ...
The Securities and Exchange Commission is adopting amendments to regulatory requirements in Regulation ATS under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) applicable to
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The previously signaled next OCIE sweep exam scrutinizing how advisers protect their sensitive data will be kicked off sometime in the next year (IA Watch, ...
An SEC official recently said at an IA Watch conference that he was looking forward to using new Form ADV data to better target firms ...
If you’re like most advisers who answered IA Watch’s recent industry survey, you’ve not yet taken up the topic of cryptocurrencies with your staff. ...
IA Watch spoke with Thomas Smedinghoff, of counsel with Locke Lord in Chicago, about what advisers should know about the EU's General Data Protection Regulation. ...
IA Watch has obtained a copy of an OCIE sweep exam request letter tied to how advisers are handling cryptocurrencies. The exam letter probes ...
The Advisers Act’s advertising rule may bear a few gray hairs as it nears 60 years old, but its age isn’t stopping many firms from ...