Carl Ayers
With FINRA using data analytics and other high-tech tools that zero in on risk, the exam process is now more focused than ever. That means ...
It’s official. The SEC’s Division of Investment Management has released a new information update formally revising its FAQs for mid-sized advisers to make clear that ...
The FAQs have been modified to remove the listing of the state of Wyoming as a state in which a mid-sized adviser would not be ...
With cybersecurity risks threatening our privacy, it’s no wonder some would seek technology to shield their communications from prying eyes. But you can also understand ...
Signs had already pointed to a significant increase in IA exams by OCIE this year (IA Watch, April 13, 2017). SEC Chairman Jay Clayton told ...
An attorney for Ray Lucia, the investment adviser who has spent the last four years challenging an SEC ALJ finding that he engaged in misleading ...
Few executives blunder as big as Mark Wiedman did when the Blackrock Advisors’ ($544B in AUM) senior managing director contributed $2,700 to last year’s Presidential ...
How does FINRA prepare for an exam? What are examiners looking for once they knock on your door? Here’s a peek into one senior examiner’s ...