Carl Ayers
If you question how closely your clients read your Form ADV, imagine the reaction you might receive if it disclosed that $329,000 in soft dollars ...
IA Watch has obtained a second OCIE document request letter from its ongoing cybersecurity sweep. The good news for the industry is that the latest ...
This week can mark an important milestone for some large banks and investment advisers in the U.S. under the Foreign Account Tax Compliance Act (FATCA). ...
In this international world of finance, it’s not uncommon for states-side advisers to manage wealth held by clients on the other side of the Atlantic. ...
Besides being the first day of summer, last Tuesday also marked the day certain interest rate derivatives were to be cleared under the European Market ...
This release makes technical corrections to rules that were published in the Federal Register on September 24, 2014 (79 FR 57184). The Commission adopted revisions ...
This is a second cybersecurity sweep letter that OCIE sent out in 2016. It reveals that this is likely the national letter being used in ...
Your compliance program may be judged by SEC officials when they simply stop by and inquire about things. One outgrowth of the Great Recession ...
Documenting when an employee leaves and that you’ve turned off their access to your network makes too much sense in this world shaken so often ...