Carl Ayers
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations governing the minimum standards for a self-regulatory organization’s (“SRO”) financial surveillance ...
This document request letter, sent to an advisory firm, asks about senior clients.
By a 7-2 vote, the nation’s highest court June 21 sided with an investment adviser who had challenged the constitutionality of the SEC’s ALJ system
U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one ...
At this stage, the SEC’s only asking what you think about requiring investment advisers to be licensed or to put up a bond, akin to ...
Few parts of the country spar with hurricanes like southeastern Texas. But last year’s Hurricane Harvey slammed Houston and surrounding areas with a rare onslaught, ...
It could not have been an easy e-mail to write for Crawford Lake Capital Management ($679M in AUM). The Lakewood, N.J.-based adviser recently e-mailed its ...
Family offices can avoid SEC registration provided they stay within the confines of Advisers Act rule 202(a)(11)(G)-1 (family offices). This means they can’t hold themselves ...
Contrast the fanfare the SEC trumpeted when it announced its mutual fund share class initiative in February with the whimper the agency blurted out when ...