Carl Ayers
To give the agency more time to sift through comments about its security-based swap data repository registration rules, the SEC has extended the industry’s compliance ...
Industry groups and brokerage firms embraced, in theory, a proposed overhaul of gifts and entertainment rules by FINRA, but said regulators should make further changes ...
A source shares language purported to come from an OCIE exam deficiency letter dealing with the custody issue of moving funds between accounts and custodians.
The Commodity Futures Trading Commission (Commission or CFTC) is adopting an amendment to Commission regulation 50.4(a) to expand the existing clearing requirement for interest rate ...
Reputational damage, congressional inquiries, lawsuits and clawbacks of bonuses are among the repercussions dripping from Wells Fargo’s embarrassing admission that staff opened thousands of accounts ...
You’ve heard it before: Get your SEC exam off to a rousing start by giving examiners a brief description of your firm. Many compliance officers ...
After selling $19 billion in structured notes over four years, dual-registrant UBS will have to pay $15 million for failing to have P&Ps for training ...
More signs are turning up that OCIE is pressing a controversial custody stance during its exams. IA Watch has obtained an excerpt from an SEC ...
The CFTC has finalized its proposal from this summer to expand the list of interest rate swaps that will have to be cleared through a ...