Carl Ayers
A peer passes on an example of a contract in a solicitation arrangement.
Northpoint Compliance in Point Pleasant, N.J., shares its checklist
A peer gives IA Watch the firm's compliance policies and procedures around the use of solicitors.
Some may flinch at the thought of government asking private entities for the names of staffers who have made political contributions but OCIE’s doing just ...
The latest evidence of cross-border regulators promising to cooperate occurs as the CFTC signs separate memoranda of understanding with three of 13 Canadian securities regulators. ...
If you have even one client based in Canada, you must alert authorities there. But you could opt to file for an exemption from registration ...
There aren’t many of you (the SEC estimates 28) but some investment advisers that advise at least one liquidity fund and manage at least $1 ...
The Council is providing this public update on its review of potential risks to financial stability that may arise from certain asset management products and ...
A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm ...