Carl Ayers
A peer shares the firm's SEC document request letter that displayed an interest in pay-to-play issues.
OCIE staff intends to conduct examinations of registered investment advisers that employ or contract with supervised persons that have a history of disciplinary events. These ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is adopting final rules amending its current system safeguards rules for designated contract markets,
swap execution facilities, and ...
The Commodity Futures Trading Commission (“Commission”) is adopting enhanced requirements for testing by a derivatives clearing organization (“DCO”) of its system safeguards, as well as ...
Derivatives clearing organizations will have to conduct at least annual penetration testing of their IT systems under the CFTC’s new final rule on DCO system ...
The Commission Sept. 8 took another step to accept a foreign regulator’s approach to overseeing swaps. In this case, it was the Japan Financial Services ...
The SEC released this version of the revised Form ADV that will take effect in October 2017. This encompasses the changes made in its 2016 ...
It can be hard to track all of those Form ADV changes contained in the SEC’s new final rule (IA Watch, Sept. 1, 2016; see ...
To amend the Investment Advisers Act of 1940 and to direct the Securities and Exchange Commission to amend its rules to modernize certain requirements
relating to ...
Last fall, we reported how Fidelity’s contract could open advisers up to a claim that they hold custody of client funds – and thus would ...