Carl Ayers
It just might be the preeminent law firm used by investment advisers. But bet you didn’t know that Ropes & Gray also owns its own ...
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 ...
Memo to FINRA re blockchain: regulate the impacts, not the technology, and then proceed with caution. That’s the upshot of comments FINRA received in response ...
President Trump ordered agencies to re-examine regulations, a review now completed by CFTC Acting Chairman Christopher Giancarlo. In a speech May 10 in Lisbon, Portugal, ...
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 ...