Carl Ayers
If your firm’s Form ADV brochure trumpets a staffer’s education or certification, make sure you confirm the claim. That’s one lesson from the SEC’s ...
The Advisers Act expects that access persons will report their securities transactions and that you’ll review them. A former SEC staffer found there’s a price ...
A peer shares a copy of a recent OCIE exam document request letter.
One year after the SEC’s OIG released a report recommending that OCIE provide it with a copy of a consultant’s study, the inspector general announces ...
We are proposing to amend the definition of a venture capital fund (rule 203(l)–1) and the private fund adviser exemption (rule 203(m)–1) under the Investment ...
Thomas Haider, the former CCO of MoneyGram, has settled his federal case that claimed he was negligent in overseeing the firm’s anti-money laundering program. The ...
Instructions for Form ADV-W.
The Securities and Exchange Commission (the “Commission” or “SEC”) is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act") ...
Even inadvertent payments – absent of fraud – can spark a costly regulatory case. Take the new $4.5 million settlement with the SEC by William ...
The last state to lack an investment adviser law has joined the nation. Wyoming has passed a new law that starts in July requiring IAs ...