Carl Ayers
Where are small firms most apt to get into trouble at exam time? What are the most effective practices for heading it off? Here are ...
Regulators are raising the bar on AML compliance. Take Raymond James & Associates. Together with an affiliate, it was fined $17 million and saw a ...
Here’s a rundown of the “Ask FINRA Senior Staff” Q&A session at the SRO’s recent annual conference. Culture Officials again attempted to calm fears that ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 (“Advisers Act”). ...
In this guidance update, the staff of the Division of Investment Management (the “Division”) underscores the importance of mitigating operational risks related to
significant business disruptions, ...
The long-promised proposal to require transition plans for investment advisers has finally emerged from the Commission (IA Watch, Dec. 11, 2014). A new 96-page proposal ...
The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule to implement the Federal Civil Penalties Inflation Adjustment Act Improvements Act of ...
IA Watch has eyed a new request for information from the SEC that seeks a “portfolio analysis tool” to help the agency and OCIE “to ...
Leveraged trades conceived by Merrill Lynch in the dark days of the financial crisis has led to a huge fine against the dual-registrant years after ...