Carl Ayers
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 ...
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 ...