Carl Ayers
If your firm receives revenue from the sale of mutual funds, be sure you have compliance P&Ps designed to avoid placing clients in a more ...
The Securities and Exchange Commission (“Commission”) is adopting amendments to its Rules of Practice. These changes concern, among other things, the timing of hearings in ...
The corrections in this document fix typographical errors, make minor clarifications to provisions that might otherwise be confusing, and confirm insurers’ broad eligibility to rely ...
The corrections either fix typographical errors or make minor clarifications to provisions that might otherwise be confusing.
The latest congressional report by the SEC’s Office of the Investor Advocate states that in FY 2017, which begins in October, the office will look ...
The latest sign that regulators want you to do some due diligence on critical third-party vendors comes from the realization that lacking representations from them ...
However the Department of Labor’s new fiduciary rule may end up affecting you, don’t lose sight of your responsibility for suitability for regular brokerage accounts. ...
It’s all about data these days. The National Futures Association often will send a registrant an Excel spreadsheet complete with fields to be filled ...
Because Barclays Bank self-reported and cooperated with the CFTC over filing inaccurate large trader reports for nearly one year, its settlement resulting in a $560,000 ...