Carl Ayers
Only a few years ago, Premium Point Investment ($84M in AUM), a New York hedge fund adviser, managed $2.5 billion in assets. Now it’s shutting ...
The Securities and Exchange Commission (“Commission”) is proposing to amend its auditor independence rules to refocus the analysis that must be conducted to determine whether ...
Only a small percentage of CCOs are compensated or employed by a firm different from the RIA they work at, according to new Form ADV ...
While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...
One of the challenges facing the industry and investors is “there are too many regulatory ‘cooks in the kitchen,’” according to SEC Chairman Jay Clayton. ...
It’s very common for CPOs and CTAs to hire third parties to house their books and records. Sources have shared with CPO/CTA Watch NFA guidance ...
Institutional investors that don’t control a commodity fund’s “operations or its investment decisions” could qualify for an exemption from the CFTC’s positions’ aggregation rule and ...
Testifying as part of a FINRA proceeding does not equate to providing information to the SEC, a federal judge held, declining to expand protections for ...