Carl Ayers
The question came up recently: Could an adviser tape record SEC examiner interviews with staff? “I understand why somebody would want to” tape examiner ...
After the offices of his private attorney were raided by authorities, President Trump stated that attorney-client privilege is dead in the U.S. You’ll find ...
Thanks to the Financial Action Task Force’s 40 recommendations for how to attack anti-money laundering, you can find great similarities in the approaches favored by ...
Who could argue with scaling back supervisory obligations pertaining to outside business activities and private securities transactions? More people than you might think. A FINRA ...
May 9's Federal Register contains the three SEC proposals tied to fiduciary duty. Each of them carries the same deadline for your comments: Tuesday, Aug. 7 ...
The same day a federal court decision vacating the Labor Department’s fiduciary duty rule was due to take effect, the DOL released a statement continuing ...
Mergers are common among investment advisers and the SEC’s Division of Investment Management has just made clear that an adviser that combines with a second ...
It took only one day after the U.S. Court of Appeals for the 2nd Circuit in New York ruled May 2 in favor of Jesse ...
FINRA has said that compliance with market access rules has become an issue in a growing number of exams (BD Watch, Dec. 14, 2017). The ...