Carl Ayers
Regulators continue to caution the industry and investors on the potential pitfalls of initial coin offerings. SEC chairman Jay Clayton is the latest to weigh ...
Catherine Hetrick was hoping the new Form ADV, Part 1 would permit her to notice file for New Mexico and be done with it. Not ...
Many of the deficiencies examiners found related to fundamental compliance duties
The new CFTC chairman has taken another shot at how his predecessors oversaw the swaps markets. Chairman J. Christopher Giancarlo traveled to a conference ...
We have detailed many of the considerations firms face with new senior exploitation rules from FINRA (BD Watch, Oct. 18, 2017, BD Watch, Nov. 9, ...
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, ...