Carl Ayers
What’s the likely future for the fiduciary duty rule? Will the SEC cooperate with the Labor Department on a uniform standard? These are among the ...
How you respond and how quickly you respond to a potential or actual data breach or loss is critical. Effectively communicating to your clients, employees, ...
The Department of Labor Aug. 9 filed a proposal with the federal Office of Management and Budget that seeks to delay its controversial fiduciary duty ...
The following FAQs provide information on (1) a “fiduciary status disclosure” issue under the Department of Labor’s ERISA section 408(b)(2) service provider disclosure regulation that ...
This Risk Alert provides a summary of observations from OCIE’s examinations of registered broker‐dealers, investment advisers, and investment companies conducted pursuant to the Cybersecurity Examination ...
The votes were unanimous Aug. 3. The Senate confirmed J. Christopher Giancarlo as CFTC chairman and added Brian Quintenz and Russ Behnam (CPO/CTA Watch, June ...
An IA shares the firm's initial exam request letter.
We have often recounted the painful downside of inadequate AML systems (BD Watch, March 16, 2017). Here’s a little good news in the form of ...
Larry Gray was in a hurry. The investment adviser had counseled the Atlanta General Employees Pension Fund board for years. Now, given a change in ...