Carl Ayers
A year after OCIE released a risk alert warning it would look at share class allocations, another adviser faces a multi-million dollar penalty for failing ...
Signs point to the CFTC going ahead with its new requirement that firms alert the Commission if they qualify for an exemption from the new ...
A peer shares a copy of the initial document request letter the firm received for an SEC exam of a broker-dealer.
A peer passes along a copy of the firm's initial document request letter from an SEC exam.
You knew it was coming and so it has that an investment adviser has formally asked the U.S. Supreme Court to determine the constitutionality of ...
OCIE’s been examined and no deficiencies were found – although its documentation procedures could be improved. Some advisers will find irony in the new ...
For all the chatter about cybersecurity, industry practices are still falling short. Take access management. Firms, big and small, continue to struggle “even ...
This week, two attorneys from separate law firms will be deposed in an SEC enforcement case that even the ALJ has described as one offering ...