Carl Ayers
The Office of Compliance Inspections and Examinations (“OCIE”) is issuing this risk alert to provide investment advisers (“advisers”), investors and other market participants with information ...
OCIE’s second risk alert of the year has hit the street and it includes a litany of actions to avoid if you wish to skip ...
Those 13 lucky advisers that recently settled SEC enforcement actions for failing to file required Form PFs haven’t yet shaken the agency (PF Watch, June ...
The same week that the Supreme Court dealt a blow to the SEC’s ALJ system, lawyers filed a challenge over whether the agency has the ...
The SEC’s revised approach to liquidity risk management gives advisers extra time to describe their programs, which will now only need to be a narrative ...
Among numerous proposed revisions to the SEC’s whistleblower rules – many of them technical tweaks – is one that clarifies that the agency wouldn’t offer ...
Ten years after the Commission first proposed a rule that would eliminate decades worth of exemptive orders for ETFs, it’s back with a new proposal ...
This spring’s release by the SEC of three fiduciary duty-related proposals (IA Watch, April 18, 2018) “encouraged” the agency’s investor advocate because the Commission was ...
In February, Susan Schroeder, EVP of enforcement at FINRA, outlined a series of broad principles that guide her division to identify and crack down on ...