Carl Ayers
Once again you’re being asked to share your comments about standards for financial professionals, but it’s not by the SEC this time (IA Watch, June ...
Keeping track of one regulator’s rules can be challenge enough for a diligent compliance officer. The task can be confounding when you have multiple regulators ...
Trump Tower and Trump Plaza may prominently display the President’s name, but the identity on the buildings’ mortgages link to an investment advisory firm. ...
Washington’s glacial pace – slowed by partisan bickering – has claimed another victim. CFTC Commissioner Sharon Bowen was due to leave her seat in ...
Consider the cross-winds in advertising regulation. The burden, when it comes to the volume of filings required by FINRA, is going down, but the risks, ...
More report cards are on the way – as are “heat maps” for setting exam parameters. Regulators are not looking to “nit pick,” however, and ...
The membership of the CFTC may be a shell of its full size (see related story), but Acting Chairman Christopher Giancarlo promised June 22 that ...
A peer shares the firm's recent document request letter from an NFA exam.
With the countdown underway to October’s introduction of a new Form ADV (IA Watch, April 13, 2017), you now have fresh guidance via 24 new ...