Carl Ayers
The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies. “Advisers should review their practices, policies, ...
One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low ...
It’s not a good sign when an adviser’s employee discovers he’s the firm’s CCO by reading its Form ADV. But that’s how Richard Tomney ...
As last week’s story ran on how Fidelity handles custody following the SEC’s 2017 guidance, the custodian was moving to announce a major change (IA ...
With another election nearing, this may be a good time to remind staff of your pay-to-play policies – especially after two more advisers have applied ...
The headline suggested a textbook case of elder financial abuse: Broker makes fraudulent misrepresentations to collect $70,000 in fees from a couple of 90-something clients. ...
With the quarter’s end upon us, the NFA is reminding CPOs and CTAs to answer new questions on its annual questionnaire regarding virtual currencies. ...
FINRA’s periodic retrospective rule review process has yielded a number of significant changes. This time, the SRO has flagged its carrying agreements’ rule (rule 4311) ...
JH Darbie & Co. is in search of a new FINOP. The New York-based broker-dealer settled charges against the firm March 27 for violating the ...