Carl Ayers
Click here to open an Excel file that is a template displaying the data required to be reported under the EU's Packaged retail investment and insurance ...
Many signs point to the SEC upping their exams of IAs. Earlier this year, there was a prediction of a 25% increase in IA exams ...
OCIE has released its 6th risk alert this year. The latest one doesn’t give municipal advisors a good compliance grade. In Observations from Municipal ...
Municipal Advisors should take steps to educate themselves regarding their compliance obligations. Exam staff frequently observed deficiencies in MA compliance with regulatory obligations regarding registration, ...
Click here to open an Excel file that is the European Working Group's template containing data points that a U.S.-based adviser that has parties in ...
Recent OCIE document request letters obtained by IA Watch may be left to speak for the agency on the issue
The YouTube video featuring Knights of Columbus Asset Advisors ($22B in AUM) in New Haven, Conn., notes the “Powerball Jackpot is $800 million dollars” and ...
While money laundering allegations captured the glare of headlines following Paul Manafort’s indictment last week, most charges in the case against the former Trump campaign ...
Most of the $35 million the now-bankrupt RIA F-Squared Investments paid in an SEC settlement represented “disgorgement” – or punishment for how investors were harmed. ...