Carl Ayers
A clear message went to private equity fund advisers this week: Keep your organizational docs current and be sure to inform your LPs of your ...
A Wall Street fight over credit default swaps that involves an RIA has captured the attention of CFTC staff. Three agency divisions jointly released ...
It’s been one year since the CFTC announced its LabCFTC as a means to encourage FinTech innovations to keep markets on the cutting edge (CPO/CTA ...
Earlier this year, CFTC Chairman Christopher Giancarlo said it was time to recalculate how to value swaps and he promised a white paper on the ...
We are proposing a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) establishing a standard of conduct for broker-dealers and natural persons ...
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing for comment a proposed interpretation of the standard of conduct for investment advisers ...
The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.
Hypothetical Relationship Summary for a Registered Investment Adviser Prepared By SEC Staff – For Illustrative Purposes Only.