Carl Ayers
Congress via Dodd-Frank in 2010 ordered the CFTC to set position limits for derivatives as a way to limit excessive speculation. The CFTC has now ...
Until a consultant reported the cyber threat to the CFTC, the Commission didn’t know that a common online method for registrants to share sensitive financial ...
It’s not unexpected as an Administration shifts in Washington that government officials begin to move on. The latest example of this is the announcement that ...
Seven years after the SEC first threatened to retract its temporary principal trading rule, it’s finally going to happen when 2016 ends (IA Watch, Sept. ...
It only affects certain investment advisers but know that if you manage more than $200 million in foreign securities, you must file Treasury Form SHC ...
Perhaps the survey could be biased in that only compliance officers happy in their jobs would be more likely to respond, but a new study ...
For the second time in five years, the CFTC has proposed capital and financial reporting rules for swap dealers and major swap participants. The ...
Richer detail, more examples and even longer lists illustrate how private equity fund advisers have reacted to the SEC’s intense interest in disclosures around fees ...
FINRA’s laser focus on the adequacy of broker-dealers’ anti-money laundering programs continues unabated. The SRO’s AML Investigative Unit identified “significant” AML program deficiencies during an ...