Carl Ayers
It’s getting to be a habit – the CFTC giving the industry additional time to comply with its rules (IA Watch, Aug. 4, 2016). The ...
The CFTC’s Office of Inspector General has released a report in which it expresses worry that the agency may not fully be protecting the identity ...
This is the first set of potentially three frequently-asked-questions release by the U.S. Department of Labor targeting the agency's fiduciary duty rule. This is designed ...
This letter comes from an exam launched by the SEC's San Francisco Regional Office.
Steve Flammey, CFO/CCO at Redwood Investments ($1B in AUM) in Newton, Mass., passes on tips to help you succeed in your next SEC exam. Click the ...
Regulators are constantly beating the drum about the need for documentation, whether to support your investment recommendations or detail how you are keeping up with ...
Tax day may come in April in the U.S. but the industry’s big date next year will be April 10. That’s when the Labor Department’s ...
Add two more signs that the government’s concerned about cybersecurity threats to financial services firms and that it wants you to be, too. Treasury’s FinCEN ...
The Staff is examining registered investment advisers and registered broker-dealers, reviewing, among other things, compliance manuals, codes of ethics, employment agreements, and severance agreements to ...