Carl Ayers
One side points to a new report that claims “scant evidence” supports the CFTC’s proposed implementation of position limits for 28 commodities derivatives. The other ...
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer...
The Federal Deposit Insurance Corporation (‘FDIC) and the SEC in accordance with section 205(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘Dodd-Frank ...
Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va., shares her firm's AML P&P.
This comes courtesy of Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va.
Compliance officers don’t necessarily have a reputation for being technologically proficient – and the SEC recognizes this. “We don’t expect you to be cybersecurity ...
The emotional strain caused by taking on the SEC was seen at IA Watch’s IA compliance conference last week when Mark Robare, owner/CCO at The ...
General Counsel/CCO Bob Chung of Arete Wealth Advisors in Schaumburg, Ill., shares how he responded to a Wells Notice.
March 1 ushers in the new cybersecurity rule from the National Futures Association, as scary stories continue to mount about cyber hackers trolling the industry ...
We’ve written about the perils of getting sued for defamation over Form U5 statements, and how to minimize your exposure (IA Watch, June 9, 2015; ...
Are corrective action statements, especially those involving changes in personnel, worth it (see related story)? Unlike a Form U5, where firms are required to ...