Carl Ayers
The word’s being heard throughout many recent SEC exams. While most exams may be shorter and less intensive, expect that OCIE will want to interview ...
Bradford Eichler had grown up with Capi Peck’s ex-husband. Their friendship dated back decades. So when Peck ran for the job of director of the ...
Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apollo Management ($46B ...
FINRA encourages firms to use new powers to hold up disbursements that seem exploitative to senior customers. But “savvy bad guys” are finding a new ...
As expected, the CFTC has ordered that its planned drop in the threshold that would trigger the need for a swaps dealer to register with ...
A glimpse into the challenges firms have in navigating international swaps deals can be seen in the latest release by the CFTC. It also shows ...
This is an example of an OCIE exam request initiated by the Washington, D.C. office.
This one hails from the SEC's Miami Regional Office.
This one was sent to an advisory from the SEC's Chicago Regional Office.