Carl Ayers
A divided CFTC Aug 4 issued its latest statement on how to apply its swaps rules across international borders in response to a court case, ...
In a year that has featured the CFTC signing cooperation memoranda of understanding with fellow regulators (IA Watch, June 10, 2016), the Commission last month ...
The SEC’s auditor independence rules, enforced since 2014 by the Public Company Accounting Oversight Board, have been a headache for auditors and their broker-dealer clients ...
Despite the uncertainty created when UK voters opted to flee the EU, Britain’s Financial Conduct Authority is moving forward with guidance for firms to comply ...
This is a copy of an SEC exam letter that went to an investment adviser in New York in 2016.
This month ‘s largest settlement ever for violating federal law mandating notifying the government of certain large stock acquisitions is shaking the hedge fund industry ...
Plenty of predictions warn of the wide impact firms will experience from the Department of Labor’s new fiduciary duty rule. TIAA-CREF has identified 215 different ...
The long-running case of Dennis Malouf may finally be nearing its end. SEC commissioners have unanimously decided to eject him from the business he has ...
Quick question: How did you answer Form ADV, Part 1 Item 1.O? It reads: Did you have $1 billion or more in assets on the ...