Carl Ayers
In a case that could drive whistleblowers away from you and into the arms of the SEC, the Supreme Court heard oral arguments Nov. 28 ...
If you’re a U.S-based adviser who does or hopes to do any business in the EU, know that Europe’s coming regulation Markets in Financial Instruments ...
Five years after the SEC charged Ray Lucia over backtested performance claims, his case has sparked the Commission to ratify its five ALJs to “put ...
Laurence Gray and Robert Hubbard fought for years SEC charges that they misled Atlanta public pension fund trustees when they ran their advisory firm, Gray ...
Doing business in Europe in January will require an LEI or legal entity identifier, perhaps even for your clients (see related story). Here’s how you ...
When the CFTC announced last month the 49 enforcement actions and the $413 million in sanctions issued in the year that ended in September, it ...
The Commodity Futures Trading Commission (CFTC or Commission) is correcting a final rule published in the Federal Register on January 6, 2016. The rule, concerning ...
This document extends the special transition period under sections II and IX of the Best Interest Contract Exemption and section VII of the Class Exemption ...
Wednesday's Federal Register will contain a formal order from the Labor Department delaying until July 2019 key elements of its controversial fiduciary duty rule. This ...