Carl Ayers
At least in theory, supervisors are your front line of defense, the managers on the ground who monitor daily activities; while compliance writes policies and ...
Big changes in outside business activity regulation are coming – at least if commentators on the subject of FINRA’s latest retrospective rule review have their ...
A peer shares a copy of an OCIE document request letter that focuses on exchange-traded funds.
This correspondence is another OCIE document request letter that looks at business development companies.
A peer shares a copy of OCIE's exam letter that included a look at private equity.
Perhaps you’ve heard that the Consumer Financial Protection Bureau has approved a final rule that prohibits those who supply “certain consumer financial products and services” ...
Max Zavanelli spent his career in the financial services industry but the SEC seeks to bar him because some ads for his GIPS-compliant investment advisory ...
The passage of time into July triggered a new NFA requirement that CPOs and CTAs report their current assets divided by current liabilities and total ...
Recently, a FINRA official offered a road map for getting through your next exam – what examiners will be looking for, and how you can ...
In March, as part of a top-down review launched by CEO Robert Cook, FINRA sought public comment on its “engagement” programs (BD Watch, March 23, ...