Carl Ayers
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 ...
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.