Carl Ayers
Here’s an appealing anti-money laundering compliance model for a small broker-dealer. Focus on a few high-level objectives. Position your compliance officer within earshot of your ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations regarding the timing for furnishing to the Commission the chief compliance officer (“CCO”) ...
Following an August proposal, the three CFTC commissioners Nov. 10 unanimously agreed to a final rule giving CCOs at futures commission merchants, swap dealers and ...
SEC commissioners have unanimously found that a Houston-based advisory firm and its two principals failed to adequately disclose a revenue-sharing arrangement. But only two of ...
Late last Friday, a U.S. District Court Judge in Washington, D.C. sided with the Labor Department and dismissed the National Association for Fixed Annuities’ lawsuit seeking ...
The proposed Regulation Automated Trading that came out last year doesn’t affect CPOs/CTAs directly. It’s targeted at larger designated contract markets and future commissions merchants. ...
Six months after the Labor Department announced a $10 million settlement with Invesco Trust Company via a press release, the agency has finally released the ...
The National Futures Association has reached across the Atlantic yet again to fine a foreign-based CPO/CTA $60,000 for commingling offshore pool funds, sending investors error-ridden ...
This is an Excel spreadsheet log designed for tracking the potential 31 fields of client data that can be requested by OCIE examiners. This can be ...